Registration and Regulation of Security-based Swap Dealers and Major Security-based Swap Participants

1. CFR
2. ›
3. Title 17
4. ›
5. Chapter II
6. ›
7. Part 240
8. ›
9. Subpart A
10. ›
11. Subject Group Registration and Regulation of Security-based Swap Dealers and Major Security-based Swap Participants

Sections

• 240.15Fb1-1
  § 240.15Fb1-1. Signatures.
• 240.15Fb2-1
  § 240.15Fb2-1 Registration of security-based swap dealers and major security-based swap participants.
• 240.15Fb2-3
  § 240.15Fb2-3 Amendments to Form SBSE, Form SBSE-A, and Form SBSE-BD.
• 240.15Fb2-4
  § 240.15Fb2-4 Nonresident security-based swap dealers and major security-based swap participants.
• 240.15Fb2-5
  § 240.15Fb2-5 Registration of successor to registered security-based swap dealer or a major security-based swap participant.
• 240.15Fb2-6
  § 240.15Fb2-6 Registration of fiduciaries.
• 240.15Fb3-1
  § 240.15Fb3-1 Duration of registration.
• 240.15Fb3-2
  § 240.15Fb3-2 Withdrawal from registration.
• 240.15Fb3-3
  § 240.15Fb3-3 Cancellation and revocation of registration.
• 240.15Fb6-1
  § 240.15Fb6-1 [Reserved]
• 240.15Fb6-2
  § 240.15Fb6-2 Associated person certification.
• 240.15Fh-1
  § 240.15Fh-1 Scope and reliance on representations.
• 240.15Fh-2
  § 240.15Fh-2 Definitions.
• 240.15Fh-3
  § 240.15Fh-3 Business conduct requirements.
• 240.15fh-4
  § 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
  § 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
  § 240.15Fh-6 Political contributions by certain security-based swap dealers.
• 240.15Fi-1
  § 240.15Fi-1 Definitions.
• 240.15Fi-2
  § 240.15Fi-2 Acknowledgment and verification of security-based swap transactions.
• 240.15fi-3
  § 240.15fi-3 Security-based swap portfolio reconciliation.
• 240.15Fi-4
  § 240.15Fi-4 Security-based swap portfolio compression.
• 240.15Fi-5
  § 240.15Fi-5 Security-based swap trading relationship documentation.
• 240.15fk-1
  § 240.15fk-1 Designation of chief compliance officer for security-based swap dealers and major security-based swap participants.
• 240.15Ga-1
  § 240.15Ga-1 Repurchases and replacements relating to asset-backed securities.
• 240.15Ga-2
  § 240.15Ga-2 Findings and conclusions of third-party due diligence reports.