17 CFR § 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.
---identifier: "/us/cfr/t17/s249.1600"source: "ecfr"legal_status: "authoritative_unofficial"title: "17 CFR § 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."title_number: 17title_name: "Commodity and Securities Exchanges"section_number: "249.1600"section_name: "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."chapter_name: "SECURITIES AND EXCHANGE COMMISSION"part_number: "249"part_name: "FORMS, SECURITIES EXCHANGE ACT OF 1934"positive_law: falsecurrency: "2026-04-05"last_updated: "2026-04-05"format_version: "1.1.0"generator: "[email protected]"authority: "15 U.S.C. 78a and 7201 12 U.S.C. 5461 18 U.S.C. 1350; Sec. 953(b) Pub. L. 111-203, 124 Stat. 1904; Sec. 102(a)(3) Pub. L. 112-106, 126 Stat. 309 (2012), Sec. 107 Pub. L. 112-106, 126 Stat. 313 (2012), Sec. 72001 Pub. L. 114-94, 129 Stat. 1312 (2015), and secs. 2 and 3 Pub. L. 116-222, 134 Stat. 1063 (2020), unless otherwise noted."cfr_part: "249"---
Identifier
/us/cfr/t17/s249.1600
Currency
2026-04-05
Positive Law
No
Updated
2026-04-05
Chapter
Securities and Exchange Commission
Authority
15 U.S.C. 78a and 7201 12 U.S.C. 5461 18 U.S.C. 1350; Sec. 953(b) Pub. L. 111-203, 124 Stat. 1904; Sec. 102(a)(3) Pub. L. 112-106, 126 Stat. 309 (2012), Sec. 107 Pub. L. 112-106, 126 Stat. 313 (201... 15 U.S.C. 78a and 7201 12 U.S.C. 5461 18 U.S.C. 1350; Sec. 953(b) Pub. L. 111-203, 124 Stat. 1904; Sec. 102(a)(3) Pub. L. 112-106, 126 Stat. 309 (2012), Sec. 107 Pub. L. 112-106, 126 Stat. 313 (2012), Sec. 72001 Pub. L. 114-94, 129 Stat. 1312 (2015), and secs. 2 and 3 Pub. L. 116-222, 134 Stat. 1063 (2020), unless otherwise noted.
# 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.This form shall be used for application for registration as a security-based swap dealer or major security-based swap participant by firms that are not registered with the Commission as a broker or dealer and that are not registered or registering with the Commodity Futures Trading Commission as a swap dealer or major swap participant, pursuant to Section 15F(b) of the Securities Exchange Act of 1934 (15 U.S.C. 78o-10(b)) and to amend such an application for registration.For citations affecting Form SBSE, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at