Capital, Margin and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants

Sections

• 240.18a-1
  § 240.18a-1 Net capital requirements for security-based swap dealers for which there is not a prudential regulator.
• 240.18a-1a
  § 240.18a-1a Options.
• 240.18a-1b
  § 240.18a-1b Adjustments to net worth for certain commodities transactions.
• 240.18a-1c
  § 240.18a-1c Consolidated Computations of Net Capital for Certain Subsidiaries and Affiliates of Security-Based Swap Dealers.
• 240.18a-1d
  § 240.18a-1d Satisfactory Subordinated Loan Agreements.
• 240.18a-2
  § 240.18a-2 Capital requirements for major security-based swap participants for which there is not a prudential regulator.
• 240.18a-3
  § 240.18a-3 Non-cleared security-based swap margin requirements for security-based swap dealers and major security-based swap participants for which there is not a prudential regulator.
• 240.18a-4
  § 240.18a-4 Segregation requirements for security-based swap dealers and major security-based swap participants.
• 240.18a-4a
  § 240.18a-4a Exhibit A—Formula for determination of security-based swap customer reserve requirements under § 240.18a-4.
• 240.18a-5
  § 240.18a-5 Records to be made by certain security-based swap dealers and major security-based swap participants.
• 240.18a-6
  § 240.18a-6 Records to be preserved by certain security-based swap dealers and major security-based swap participants.
• 240.18a-7
  § 240.18a-7 Reports to be made by certain security-based swap dealers and major security-based swap participants.
• 240.18a-8
  § 240.18a-8 Notification provisions for security-based swap dealers and major security-based swap participants.
• 240.18a-9
  § 240.18a-9 Quarterly security counts to be made by certain security-based swap dealers.
• 240.18a-10
  § 240.18a-10 Alternative compliance mechanism for security-based swap dealers that are registered as swap dealers and have limited security-based swap activities.