Regulation SB SEF - Registration and Regulation of Security-Based Swap Execution Facilities

OMB 3235-0678

Latest Forms, Documents, and Supporting Material

Document Name
Form SB SEF Registration Form and Instruction
Supporting_Statement_Proposed_Regulation_SBSEF_(5-18-11).pdf Supporting Statement A
Dodd-Frank Act Sec 763.pdf Supplementary Document
Composite Indicative Quote/Executable Bids and Offers
Composite Indicative Quote/Executable Bids and Offers
Access by Non-Registered ECPs
Access by Non-Registered ECPs
Access by Non-Registered ECPs
Access by Non-Registered ECPs
Surveillance Systems
Surveillance Systems
CCO Requirement
CCO Requirement
CCO Requirement
Rule Filing and Product Filing
Rule Filing and Product Filing
Timely Publication of Trading Information
Recordkeeping
Recordkeeping
Recordkeeping
Recordkeeping
Recordkeeping
Recordkeeping
Reporting
Reporting
Reporting
Reporting
Reporting
Reporting
Reporting
Reporting
Reporting
Reporting
Rule-writing
Rule-writing
Registration
Registration
Registration
Registration
Registration
Registration
Registration
Registration
Registration Form and Instruction