17 CFR Topic
Registration and Regulation of Security-based Swap Dealers and Major Security-based Swap Participants
April 15, 2021
§
240.15Fb1-1.
Signatures
§
240.15Fb2-1
Registration of security-based swap dealers and major security-based swap participants
§
240.15Fb2-3
Amendments to Form SBSE, Form SBSE-A, and Form SBSE-BD
§
240.15Fb2-4
Nonresident security-based swap dealers and major security-based swap participants
§
240.15Fb2-5
Registration of successor to registered security-based swap dealer or a major security-based swap participant
§
240.15Fb2-6
Registration of fiduciaries
§
240.15Fb3-1
Duration of registration
§
240.15Fb3-2
Withdrawal from registration
§
240.15Fb3-3
Cancellation and revocation of registration
§
240.15Fb6-1
[Reserved]
§
240.15Fb6-2
Associated person certification
§
240.15Fh-1
Scope and reliance on representations
§
240.15Fh-2
Definitions
§
240.15Fh-3
Business conduct requirements
§
240.15Fh-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
Special requirements for security-based swap dealers and major security-based swap participants acting as counterparties to special entities
§
240.15Fh-6
Political contributions by certain security-based swap dealers
§
240.15Fi-1
Definitions
§
240.15Fi-2
Acknowledgment and verification of security-based swap transactions
§
240.15Fi-3
Security-based swap portfolio reconciliation
§
240.15Fi-4
Security-based swap portfolio compression
§
240.15Fi-5
Security-based swap trading relationship documentation
§
240.15Fk-1
Designation of chief compliance officer for security-based swap dealers and major security-based swap participants
§
240.15Ga-1
Repurchases and replacements relating to asset-backed securities
§
240.15Ga-2
Findings and conclusions of third-party due diligence reports
§
240.16a-1
Definition of terms
§
240.16a-2
Persons and transactions subject to section 16
§
240.16a-3
Reporting transactions and holdings
§
240.16a-4
Derivative securities
§
240.16a-5
Odd-lot dealers
§
240.16a-6
Small acquisitions
§
240.16a-7
Transactions effected in connection with a distribution
§
240.16a-8
Trusts
§
240.16a-9
Stock splits, stock dividends, and pro rata rights
§
240.16a-10
Exemptions under section 16(a)
§
240.16a-11
Dividend or interest reinvestment plans
§
240.16a-12
Domestic relations orders
§
240.16a-13
Change in form of beneficial ownership
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