Form SBSE-C (SEC Form 2927) Certifications for Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants

What Is Form SBSE-C (SEC Form 2927)?

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 Form SBSE-C?
A: Form SBSE-C is a certification form used for the registration of Security-Based Swap Dealers (SBSDs) and Major Security-Based Swap Participants (MSBSPs).

Q: Who is required to file Form SBSE-C?
A: Security-Based Swap Dealers (SBSDs) and Major Security-Based Swap Participants (MSBSPs) are required to file Form SBSE-C.

Q: What is the purpose of Form SBSE-C?
A: The purpose of Form SBSE-C is to provide information and certifications necessary for the registration of SBSDs and MSBSPs.

Q: What information is required on Form SBSE-C?
A: Form SBSE-C requires information about the applicant's business activities, control persons, compliance policies, and financial condition.

Q: Can Form SBSE-C be filed electronically?
A: Yes, Form SBSE-C can be filed electronically through the SEC's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.

Q: What happens after I file Form SBSE-C?
A: After filing Form SBSE-C, the SEC will review the form, and if approved, the applicant will be registered as a Security-Based Swap Dealer (SBSD) or Major Security-Based Swap Participant (MSBSP).