SEC Form 2926 (SBSE-BD) Application for Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants That Are Registered Broker-Dealers

What Is SEC Form 2926 (SBSE-BD)?

This is a legal form that was released by the U.S. Securities and Exchange Commission on January 1, 2016 and used country-wide. As of today, no separate filing guidelines for the form are provided by the issuing department.

FAQ

Q: What is SEC Form 2926 (SBSE-BD)?
A: SEC Form 2926 (SBSE-BD) is an application for registration of security-based swap dealers and major security-based swap participants that are registered broker-dealers.

Q: Who needs to fill out SEC Form 2926 (SBSE-BD)?
A: Security-based swap dealers and major security-based swap participants that are registered broker-dealers need to fill out SEC Form 2926 (SBSE-BD).

Q: What is the purpose of SEC Form 2926 (SBSE-BD)?
A: The purpose of SEC Form 2926 (SBSE-BD) is to apply for registration as a security-based swap dealer or major security-based swap participant that is a registered broker-dealer.

Q: Are there any fees associated with filing SEC Form 2926 (SBSE-BD)?
A: Yes, there are fees associated with filing SEC Form 2926 (SBSE-BD). The exact fees can be found in the instructions accompanying the form.

Q: What information is required on SEC Form 2926 (SBSE-BD)?
A: SEC Form 2926 (SBSE-BD) requires information about the applicant's business, organization, management, financial condition, regulatory history, and other relevant details.

Q: Is there a deadline for filing SEC Form 2926 (SBSE-BD)?
A: There is no specific deadline mentioned for filing SEC Form 2926 (SBSE-BD). However, it is recommended to submit the form at least 90 days prior to the anticipated compliance date.

Q: Who should I contact for more information about SEC Form 2926 (SBSE-BD)?
A: For more information about SEC Form 2926 (SBSE-BD), you can contact the Division of Trading and Markets of the U.S. Securities and Exchange Commission (SEC).