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Registration and Regulation of Security-based Swap Dealers and Major Security-based Swap Participants | Midpage
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Code of Federal Regulations
Title 17
Chapter II
Part 240
ECFR4594b28bbb3a5d5
Registration and Regulation of Security-based Swap Dealers and Major Security-based Swap Participants
240.15Fb1-1
Signatures.
240.15Fb2-1
Registration of security-based swap dealers and major security-based swap participants.
240.15Fb2-3
Amendments to Form SBSE, Form SBSE-A, and Form SBSE-BD.
240.15Fb2-4
Nonresident security-based swap dealers and major security-based swap participants.
240.15Fb2-5
Registration of successor to registered security-based swap dealer or a major security-based swap participant.
240.15Fb2-6
Registration of fiduciaries.
240.15Fb3-1
Duration of registration.
240.15Fb3-2
Withdrawal from registration.
240.15Fb3-3
Cancellation and revocation of registration.
240.15Fb6-1
[Reserved]
240.15Fb6-2
Associated person certification.
240.15Fh-1
Scope and reliance on representations.
240.15Fh-2
Definitions.
240.15Fh-3
Business conduct requirements.
240.15fh-4
(Rule 15fh-4) Antifraud provisions for security-based swap dealers and major security-based swap participants; special requirements for security-based swap dealers acting as advisors to special entities.
240.15Fh-5
Special requirements for security-based swap dealers and major security-based swap participants acting as counterparties to special entities.
240.15Fh-6
Political contributions by certain security-based swap dealers.
240.15Fi-1
Definitions.
240.15Fi-2
Acknowledgment and verification of security-based swap transactions.
240.15fi-3
Security-based swap portfolio reconciliation.
240.15Fi-4
Security-based swap portfolio compression.
240.15Fi-5
Security-based swap trading relationship documentation.
240.15fk-1
Designation of chief compliance officer for security-based swap dealers and major security-based swap participants.
240.15Ga-1
Repurchases and replacements relating to asset-backed securities.
240.15Ga-2
Findings and conclusions of third-party due diligence reports.