Code of Federal Regulations · Subpart

Subpart Q — Registration Of Security-based Swap Dealers And Major Security-based Swap Participants

17 C.F.R. pt. 249, subpt. Q

• § 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
• § 249.1601 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
• § 249.1600a a 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 b 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 c Form Sbse-c, For Certification By Security-based Swap Dealers And Major Security-based Swap Participants