Source: https://www.ecfr.gov/cgi-bin/text-idx?mc=true&tpl=/ecfrbrowse/Title17/17cfr249_main_02.tpl
Timestamp: 2020-01-29 03:21:57
Document Index: 43828178

Matched Legal Cases: ['§249', '§242', '§249', '§240', '§249', '§249', '§249', '§249', '§249', '§249', '§249', '§249', '§249']

Form 10, general form for registration of securities pursuant to section 12(b) or (g) of the Securities Exchange Act of 1934.
§249.640
Form ATS-N, information required of NMS Stock ATSs pursuant to §242.304(a) of this chapter.
§249.641
Form CRS, Relationship Summary for Brokers and Dealers Providing Services to Retail Investors, pursuant to §240.17a-14 of this chapter.
§249.1401
Form ABS-EE, for submission of the asset-data file exhibits and related documents.
§249.1500
Form SDR, for application for registration as a security-based swap data repository, amendments thereto, or withdrawal from registration.
§249.1600
Form SBSE, for application for registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration.
§249.1600a
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.
§249.1600b
Form SBSE-BD, 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 Commission as a broker or dealer.
§249.1600c
Form SBSE-C, for certification by security-based swap dealers and major security-based swap participants.
§249.1601
Form SBSE-W, for withdrawal from registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration.
§249.1900.
Form SCI, for filing notices and reports as required by Regulation SCI.
§249.2000
Form Funding Portal.