Statutes, codes, and regulations
Code of Federal Regulations
Title 17 - COMMODITY AND SECURITIES EXCHANGESChapter II - SECURITIES AND EXCHANGE COMMISSIONPart 240 - GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934Subpart A - RULES AND REGULATIONS UNDER THE SECURITIES EXCHANGE ACT OF 1934REGULATION 15D: REPORTS OF REGISTRANTS UNDER THE SECURITIES ACT OF 1933
CAPITAL, MARGIN AND SEGREGATION REQUIREMENTS FOR SECURITY-BASED SWAP DEALERS AND MAJOR SECURITY-BASED SWAP PARTICIPANTS
Section 240.18a-1c - Consolidated Computations of Net Capital for Certain Subsidiaries and Affiliates of Security-Based Swap Dealers

17 C.F.R. § 240.18a-1c

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Current through October 31, 2024
Section 240.18a-1c - Consolidated Computations of Net Capital for Certain Subsidiaries and Affiliates of Security-Based Swap Dealers

Every security-based swap dealer in computing its net capital pursuant to § 240.18a-1 shall include in its computation all liabilities or obligations of a subsidiary or affiliate that the security-based swap dealer guarantees, endorses, or assumes either directly or indirectly.

17 C.F.R. §240.18a-1c

84 FR 44065 , Aug. 22, 2019
84 FR 44065 , 10/21/2019