Rule 18a-1 — Net capital requirements for security-based swap dealers for which there is not a prudential regulator.
Rule 18a-1a — Options.
Rule 18a-1b — Adjustments to net worth for certain commodities transactions.
Rule 18a-1c — Consolidated Computations of Net Capital for Certain Subsidiaries and Affiliates of Security-Based Swap Dealers.
Rule 18a-1d — Satisfactory Subordinated Loan Agreements.
Rule18a-2 — Capital requirements for major security-based swap participants for which there is not a prudential regulator.
Rule 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.
Rule 18a-4 — Segregation requirements for security-based swap dealers and major security-based swap participants.
Rule 18a-4a — Exhibit A – Formula for determination of security-based swap customer reserve requirements under § 240.18a-4.
Rule 18a-5 — Records to be made by certain security-based swap dealers and major security-based swap participants.
Rule 18a-6 — Records to be preserved by certain security-based swap dealers and major security-based swap participants.
Rule 18a-7 — Reports to be made by certain security-based swap dealers and major security-based swap participants.
Rule 18a-8 — Notification provisions for security-based swap dealers and major security-based swap participants.
Rule 18a-9 — Quarterly security counts to be made by certain security-based swap dealers.
Rule 18a-10 —Alternative compliance mechanism for security-based swap dealers that are registered as swap dealers and have limited security-based swap activities.