§ 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.
105 words·~1 min read·
/us/cfr/t17/s§ 249.1600A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
This form shall be used for application for registration as a security-based swap dealer or major security-based swap participant by firms that are not registered with the Commission as a broker or dealer and that are not registered or registering with the Commodity Futures Trading Commission as a swap dealer or major swap participant, pursuant to Section 15F(b) of the Securities Exchange Act of 1934 (15 U.S.C. 78o-10(b)) and to amend such an application for registration. Editorial Note:For Federal Register citations affecting Form SBSE, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.
Connections12 cite this · traces to 1
Cited by 12 sections · top 8
register
- NoticesProposed rules; proposed interpretations
- NoticesSECURITIES AND EXCHANGE COMMISSION
- NoticesFinal rule
- NoticesSECURITIES AND EXCHANGE COMMISSION
- Rules and RegulationsSECURITIES AND EXCHANGE COMMISSION
- Rules and RegulationsProposed rules; proposed interpretations
- Rules and RegulationsSECURITIES AND EXCHANGE COMMISSION
- NoticesSECURITIES AND EXCHANGE COMMISSION
Traces to 1 document
Citation graph
cites case law
§ 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.
Fed. Reg.×12
Cites 1Cited by 12 across 1 source