17 CFR Topic
Capital, Margin and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants
April 15, 2021
§
240.18a-1
Net capital requirements for security-based swap dealers for which there is not a prudential regulator
§
240.18a-1a
Options
§
240.18a-1b
Adjustments to net worth for certain commodities transactions
§
240.18a-1c
Consolidated Computations of Net Capital for Certain Subsidiaries and Affiliates of Security-Based Swap Dealers
§
240.18a-1d
Satisfactory Subordinated Loan Agreements
§
240.18a-2
Capital requirements for major security-based swap participants for which there is not a prudential regulator
§
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
Segregation requirements for security-based swap dealers and major security-based swap participants
§
240.18a-4a
Exhibit A—Formula for determination of security-based swap customer reserve requirements under §240.18a-4
§
240.18a-5
Records to be made by certain security-based swap dealers and major security-based swap participants
§
240.18a-6
Records to be preserved by certain security-based swap dealers and major security-based swap participants
§
240.18a-7
Reports to be made by certain security-based swap dealers and major security-based swap participants
§
240.18a-8
Notification provisions for security-based swap dealers and major security-based swap participants
§
240.18a-9
Quarterly security counts to be made by certain security-based swap dealers
§
240.18a-10
Alternative compliance mechanism for security-based swap dealers that are registered as swap dealers and have limited security-based swap activities
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