Subjgrp 106. Registration and Regulation of Security-based Swap Dealers and Major Security-based Swap Participants
- § 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 - (Rule 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.