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Registration Process for Security-Based Swap Dealers and Major Security-Based Swap Participants (Us Securities and Exchange Commission Regulation) (Sec) (2018 Edition) The Law Library

The Law Library presents the complete text of the Registration Process for Security-Based Swap Dealers and Major Security-Based Swap Participants (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition).

Updated as of May 29, 2018



The Securities and Exchange Commission (the "Commission") is adopting new Rules 15Fb1-1 through 15Fb6-2 and Forms SBSE, SBSE-A, SBSE-BD, SBSE-C and SBSE-W in accordance with Section 15F of the Securities Exchange Act of 1934 (the "Exchange Act"). Section 15F, which was added to the Exchange Act by Section 764(a) of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act"), requires the Commission to issue rules to provide for the registration of security-based swap dealers ("SBS Dealers") and major security-based swap participants ("Major SBS Participants") (collectively, "SBS Entities"). These new rules and forms establish a process by which SBS Entities can register (and withdraw from registration) with the Commission.



This ebook contains:

- The complete text of the Registration Process for Security-Based Swap Dealers and Major Security-Based Swap Participants (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition)

- A dynamic table of content linking to each section

- A table of contents in introduction presenting a general overview of the structure