Registration and Regulation of Security-based Swap Dealers & Participants

Rule 15Fb1-1 — Signatures.

Rule 15Fb2-1 — Registration of security-based swap dealers and major security-based swap participants.

Rule 15Fb2-3 — Amendments to Form SBSE, Form SBSE-A, and Form SBSE-BD.

Rule 15Fb2-4 — Nonresident security-based swap dealers and major security-based swap participants.

Rule 15Fb2-5 — Registration of successor to registered security-based swap dealer or a major security-based swap participant.

Rule 15Fb2-6 — Registration of fiduciaries.

Rule 15Fb3-1 — Duration of registration.

Rule 15Fb3-2 — Withdrawal from registration.

Rule 15Fb3-3 — Cancellation and revocation of registration.

Rule 15Fb6-1 — [Reserved]

Rule 15Fb6-2 — Associated person certification.

Rule 15Fh-1 — Scope and reliance on representations.

Rule 15Fh-2 — Definitions.

Rule 15Fh-3 — Business conduct requirements.

Rule 15Fh-4 — Antifraud provisions for security-based swap dealers and major security-based swap participants; special requirements for security-based swap dealers acting as advisors to special entities.

Rule 15Fh-5 — Special requirements for security-based swap dealers and major security-based swap participants acting as counterparties to special entities.

Rule 15Fh-6 — Political contributions by certain security-based swap dealers.

Rule 15Fi-1 — Definitions.

Rule 15Fi-2 — Acknowledgment and verification of security-based swap transactions.

Rule 15Fi-3 — Security-based swap portfolio reconciliation.

Rule 15Fi-4 — Security-based swap portfolio compression.

Rule 15Fi-5 — Security-based swap trading relationship documentation.

Rule 15Fk-1 — Designation of chief compliance officer for security-based swap dealers and major security-based swap participants.

Rule 15Ga-1 — Repurchases and replacements relating to asset-backed securities.

Rule 15Ga-2 — Findings and conclusions of third-party due diligence reports.

Rule 16a-1 — Definition of terms.