Title 17

PART 249 SUBPART Q

Subpart Q - Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants Source:80 FR 49017 Aug. 14, 2015, unless otherwise noted.

• 15 U.S.C. 78a et seq. and 7201 et seq.; 12 U.S.C. 5461 et seq.; 18 U.S.C. 1350; Sec. 953(b), Pub. L. 111-203, 124 Stat. 1904; Sec. 102(a)(3), Pub. L. 112-106, 126 Stat. 309 (2012); Sec. 107, Pub. L. 112-106, 126 Stat. 313 (2012), and Sec. 72001, Pub. L. 114-94, 129 Stat. 1312 (2015), unless otherwise noted.
• Source:

17:4.0.1.1.10.17.128.1	SECTION 249.1600	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.
17:4.0.1.1.10.17.128.2	SECTION 249.1600a	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.
17:4.0.1.1.10.17.128.3	SECTION 249.1600b	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.
17:4.0.1.1.10.17.128.4	SECTION 249.1600c	249.1600c Form SBSE-C, for certification by security-based swap dealers and major security-based swap participants.
17:4.0.1.1.10.17.128.5	SECTION 249.1601	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.

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