CAPITAL, MARGIN AND SEGREGATION REQUIREMENTS FOR SECURITY-BASED SWAP DEALERS AND MAJOR SECURITY-BASED SWAP PARTICIPANTS
- Section 240.18a-1 - Net capital requirements for security-based swap dealers for which there is not a prudential regulator
- Section 240.18a-1a - Options
- Section 240.18a-1b - Adjustments to net worth for certain commodities transactions
- Section 240.18a-1c - Consolidated Computations of Net Capital for Certain Subsidiaries and Affiliates of Security-Based Swap Dealers
- Section 240.18a-1d - Satisfactory Subordinated Loan Agreements
- Section 240.18a-2 - Capital requirements for major security-based swap participants for which there is not a prudential regulator
- Section 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
- Section 240.18a-4 - Segregation requirements for security-based swap dealers and major security-based swap participants
- Section 240.18a-4a - Exhibit A-Formula for determination of security-based swap customer reserve requirements under Section 240.18a-4
- Section 240.18a-5 - Records to be made by certain security-based swap dealers and major security-based swap participants
- Section 240.18a-6 - Records to be preserved by certain security-based swap dealers and major security-based swap participants
- Section 240.18a-7 - Reports to be made by certain security-based swap dealers and major security-based swap participants
- Section 240.18a-8 - Notification provisions for security-based swap dealers and major security-based swap participants
- Section 240.18a-9 - Quarterly security counts to be made by certain security-based swap dealers
- Section 240.18a-10 - Alternative compliance mechanism for security-based swap dealers that are registered as swap dealers and have limited security-based swap activities