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Home→The Deskbook–Table of Contents→The Securities Acts and General Regulations→Securities Exchange Act of 1934→General rules and regulations promulgated under the Securities Exchange Act of 1934 (17 CFR Part 240)→Capital, Margin and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants (Rules 18a-1 to 18a-10)

Capital, Margin and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants (Rules 18a-1 to 18a-10)

Rule 18a-1 Net capital requirements for security-based swap dealers for which there is not a prudential regulator.

Rule 18a-1a Options.

Rule 18a-1b Adjustments to net worth for certain commodities transactions.

Rule 18a-1c Consolidated Computations of Net Capital for Certain Subsidiaries and Affiliates of Security-Based Swap Dealers.

Rule 18a-1d Satisfactory Subordinated Loan Agreements.

Rule18a-2 Capital requirements for major security-based swap participants for which there is not a prudential regulator.

Rule 18a-3 Non-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.

Rule 18a-4 Segregation requirements for security-based swap dealers and major security-based swap participants.

Rule 18a-4a Exhibit A – Formula for determination of security-based swap customer reserve requirements under § 240.18a-4.

Rule 18a-10 Alternative compliance mechanism for security-based swap dealers that are registered as swap dealers and have limited security-based swap activities.