A security-based swap dealer (SBSD) or major security-based swap participant (MSBSP) that has timely submitted a complete Form SBSE-C and a complete Form SBSE, Form SBSE-A or Form SBSE-BD, as applicable, and has not withdrawn its registration is conditionally registered with the Commission. An SBSD or MSBSP remains conditionally registered until the Commission grants or denies on-going registration.

The Division of Trading and Markets has compiled the below list of SBSDs and MSBSPs who have filed applications for registration as SBSDs or MSBSPs, accordingly, and have not withdrawn the registration or deregistered. The list of SBSDs and MSBSPs is compiled based on a search for Form SBSE-C and Forms SBSE, SBSE-A and SBSE-BD filings through the Commission’s Electronic Data Gathering, Analysis and Retrieval system.

The list was prepared by staff of the Division of Trading and Markets. SEC staff statements represent the views of the SEC staff. They are not rules, regulations, or statements of the SEC. The SEC has neither approved nor disapproved their content. SEC staff statements, like all SEC staff guidance, have no legal force or effect: they do not alter or amend applicable law, and they create no new or additional obligations for any person.

List of Registered Security-Based Swap Dealers and Major Security-Based Swap Participants (Excel File)