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