Code of Federal Regulations > Title 17 > Chapter II > Part 249 > Subpart Q - Subpart Q—Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants

U.S. Code of Federal Regulations

Regulations most recently checked for updates: Aug 27, 2025

§ 249.1600 - Form SBSE, for application for registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration.

§ 249.1600a - Form SBSE-A, for application for registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration by firms registered or registering with the Commodity Futures Trading Commission as a swap dealer or major swap participant that are not also registered or registering with the Commission as a broker or dealer.

§ 249.1600b - Form SBSE-BD, for application for registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration by firms registered or registering with the Commission as a broker or dealer.

§ 249.1600c - Form SBSE-C, for certification by security-based swap dealers and major security-based swap participants.

§ 249.1601 - Form SBSE-W, for withdrawal from registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration.