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Regulations last checked for updates: Nov 22, 2024
Title 17 - Commodity and Securities Exchanges last revised: Nov 19, 2024
All Titles
Title 17
Chapter II
Part 249
Subpart Q - Subpart Q—Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
§ 249.1600 - Form SBSE, for application for registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration.
§ 249.1600a - Form SBSE-A, for application for registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration by firms registered or registering with the Commodity Futures Trading Commission as a swap dealer or major swap participant that are not also registered or registering with the Commission as a broker or dealer.
§ 249.1600b - Form SBSE-BD, for application for registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration by firms registered or registering with the Commission as a broker or dealer.
§ 249.1600c - Form SBSE-C, for certification by security-based swap dealers and major security-based swap participants.
§ 249.1601 - Form SBSE-W, for withdrawal from registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration.
authority:
15 U.S.C. 78a
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