---
kind: "section"
citation: "17 C.F.R. § 249.1600"
title: "17"
number: "249.1600"
heading: "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."
url: "https://uscodex.org/cfr/17/249.1600"
---

# §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.


This form shall be used for application for registration as a security-based swap dealer or major security-based swap participant by firms that are not registered with the Commission as a broker or dealer and that are not 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)](/usc/15/78o-10.md?p=b)) and to amend such an application for registration.


## Notes

### Source

Source: 80 FR 49017 Aug. 14, 2015, unless otherwise noted.

### Authority

Authority: 15 U.S.C. 78a et seq. and 7201 et seq.; 12 U.S.C. 5461 et seq.; 18 U.S.C. 1350; Sec. 953(b) Pub. L. 111-203, 124 Stat. 1904; Sec. 102(a)(3) Pub. L. 112-106, 126 Stat. 309 (2012), Sec. 107 Pub. L. 112-106, 126 Stat. 313 (2012), Sec. 72001 Pub. L. 114-94, 129 Stat. 1312 (2015), and secs. 2 and 3 Pub. L. 116-222, 134 Stat. 1063 (2020), unless otherwise noted. Section 249.220f is also issued under secs. 3(a), 202, 208, 302, 306(a), 401(a), 401(b), 406 and 407, Pub. L. 107-204, 116 Stat. 745, and secs. 2 and 3, Pub. L. 116-222, 134 Stat. 1063. Section 249.240f is also issued under secs. 3(a), 202, 208, 302, 306(a), 401(a), 406 and 407, Pub. L. 107-204, 116 Stat. 745. Section 249.308 is also issued under 15 U.S.C. 80a-29 and 80a-37. Section 249.308a is also issued under secs. 3(a) and 302, Pub. L. 107-204, 116 Stat. 745. Section 249.308b is also issued under secs. 3(a) and 302, Pub. L. 107-204, 116 Stat. 745. Section 249.310 is also issued under secs. 3(a), 202, 208, 302, 406 and 407, Pub. L. 107-204, 116 Stat. 745. Section 249.326(T) also issued under section 13(f)(1) (15 U.S.C. 78m(f)(1)). Section 249.330 is also issued under 15 U.S.C. 80a-29(a). Section 249.331 is also issued under 15 U.S.C. 78j-1, 7202, 7233, 7241, 7264, 7265; and 18 U.S.C. 1350. Section 249.617 is also issued under Pub. L. 111-203, § 939, 939A, 124. Stat. 1376 (2010) (15 U.S.C. 78c, 15 U.S.C. 78 o -7 note). Section 249.640 is also issued under Public Law 111-203, sec. 913, 124 Stat. 1376 (2010). Section 249.819 is also issued under 12 U.S.C. 5465(e). Section 249.1400 is also issued under sec. 943, Pub. L. 111-203, 124 Stat. 1376.