17 CFR 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.
Source:
80 FR 49017 Aug. 14, 2015, unless otherwise noted.
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