Subjgrp 112. Capital, Margin and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants
- § 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.