Form SBSE - SEC 2026

1. Click ‘Get Form’ to open Form SBSE in the editor.
2. Begin by filling out the applicant's exact name, principal business address, and contact information in Section 1. Ensure all fields are completed accurately.
3. Proceed to Section 2 where you will indicate whether the applicant is registering as a security-based swap dealer or a major security-based swap participant. Check the appropriate boxes.
4. In Section 3, provide details about any foreign regulatory authority if applicable. This includes identifying your primary regulator and any substituted compliance determinations.
5. Complete Sections 4 through 14 by answering questions regarding ownership, criminal disclosures, and regulatory actions. Use our platform’s features to easily navigate between sections and ensure all necessary information is provided.
6. Finally, review all entries for accuracy before submitting the form electronically through the EDGAR system as required.

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