1. LawStack
  2. Title 17 - Commodity and Securities Exchange
  3. Chapter II - SECURITIES AND EXCHANGE COMMISSION
  4. Part 240 - GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934
  5. Subpart A - Rules and Regulations Under the Securities Exchange Act of 1934
  6. Topic - Capital, Margin and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants
  7. 17 CFR § 240.18a-1c
17 CFR § 240.18a-1c
Consolidated Computations of Net Capital for Certain Subsidiaries and Affiliates of Security-Based Swap Dealers
April 15, 2021
CFR

Every security-based swap dealer in computing its net capital pursuant to §240.18a-1 shall include in its computation all liabilities or obligations of a subsidiary or affiliate that the security-based swap dealer guarantees, endorses, or assumes either directly or indirectly.

[84 FR 44065, Aug. 22, 2019]

Previous
§ 240.18a-1b Adjustments to net worth for certain commodities transactions
Next
§ 240.18a-1d Satisfactory Subordinated Loan Agreements

Tried the LawStack mobile app?

Join thousands and try LawStack mobile for FREE today.

  • Carry the law offline, wherever you go.
  • Download CFR, USC, rules, and state law to your mobile device.

Designed and built by Tekk Innovations LLC, the makers of the LawStack iPhone app or Android app.

© 2020 Tekk Innovations LLC