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Registration 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 249
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.