{"data":{"id":"us/17-cfr-249.1600a","jurisdiction":"us","citation":"17 CFR 249.1600a","heading":"a 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.","body":"This form shall be used instead of Form SBSE (§ 249.1600) to apply for registration as a security-based swap dealer or major security-based swap participant by firms that are not registered or registering with the Commission as a broker or dealer but that are 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. An entity that is registered or registering with the Commission as a broker or dealer and is also registered or registering with the Commodity Futures Trading Commission as a swap dealer or major swap participant shall apply for registration as a security-based swap dealer or major security-based swap participant on Form SBSE-BD (§ 249.1600b) and not on this Form SBSE-A.","path":["Title 17—Commodity and Securities Exchanges","CHAPTER II—SECURITIES AND EXCHANGE COMMISSION","PART 249—FORMS, SECURITIES EXCHANGE ACT OF 1934","Subpart Q—Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants"],"source_url":"https://www.ecfr.gov/api/versioner/v1/full/2026-08-25/title-17.xml","current_through":"2026-08-25","vintage":"","retrieved_at":"2026-08-27T02:24:31Z","sha256":"8194c7c0927e9ae6e0df26e54d119d5e4ccc266bcd1a3236c5b50afb48c179d3","source_id":"us-cfr","stale":true,"prev":"us/17-cfr-249.1600","next":"us/17-cfr-249.1600b"},"notice":"GroundRules: Original legal text. Not legal advice."}