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Title 17

Displaying title 17, up to date as of 10/07/2026. Title 17 was last amended 10/06/2026.
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Title 17Commodity and Securities ExchangesPart / Section
Chapter IISecurities and Exchange Commission200 – 399
Part 240General Rules and Regulations, Securities Exchange Act of 1934240.0-1 – 240.36a1-2
Capital, Margin and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants240.18a-1 – 240.18a-10
§ 240.18a-1Net capital requirements for security-based swap dealers for which there is not a prudential regulator.
§ 240.18a-1aOptions.
§ 240.18a-1bAdjustments to net worth for certain commodities transactions.
§ 240.18a-1cConsolidated Computations of Net Capital for Certain Subsidiaries and Affiliates of Security-Based Swap Dealers.
§ 240.18a-1dSatisfactory Subordinated Loan Agreements.
§ 240.18a-2Capital requirements for major security-based swap participants for which there is not a prudential regulator.
§ 240.18a-3Non-cleared security-based swap margin requirements for security-based swap dealers and major security-based swap participants for which there is not a prudential regulator.
§ 240.18a-4Segregation requirements for security-based swap dealers and major security-based swap participants.
§ 240.18a-4aExhibit A—Formula for determination of security-based swap customer reserve requirements under § 240.18a-4.
§ 240.18a-5Records to be made by certain security-based swap dealers and major security-based swap participants.
§ 240.18a-6Records to be preserved by certain security-based swap dealers and major security-based swap participants.
§ 240.18a-7Reports to be made by certain security-based swap dealers and major security-based swap participants.
§ 240.18a-8Notification provisions for security-based swap dealers and major security-based swap participants.
§ 240.18a-9Quarterly security counts to be made by certain security-based swap dealers.
§ 240.18a-10Alternative compliance mechanism for security-based swap dealers that are registered as swap dealers and have limited security-based swap activities.