Sections
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240.3a68-1a
§ 240.3a68-1a Meaning of “issuers of securities in a narrow-based security index” as used in section 3(a)(68)(A)(ii)(III) of the Act. -
240.3a68-1b
§ 240.3a68-1b Meaning of “narrow-based security index” as used in section 3(a)(68)(A)(ii)(I) of the Act. -
240.3a68-2
§ 240.3a68-2 Requests for interpretation of swaps, security-based swaps, and mixed swaps. -
240.3a68-3
§ 240.3a68-3 Meaning of “narrow-based security index” as used in the definition of “security-based swap.” -
240.3a68-4
§ 240.3a68-4 Regulation of mixed swaps. -
240.3a68-5
§ 240.3a68-5 Regulation of certain futures contracts on foreign sovereign debt. -
240.3a69-1
§ 240.3a69-1 Safe Harbor Definition of “security-based swap” and “swap” as used in sections 3(a)(68) and 3(a)(69) of the Act—insurance. -
240.3a69-2
§ 240.3a69-2 Definition of “swap” as used in section 3(a)(69) of the Act—additional products. -
240.3a69-3
§ 240.3a69-3 Books and records requirements for security-based swap agreements. -
240.3a71-1
§ 240.3a71-1 Definition of “security-based swap dealer.” -
240.3a71-2
§ 240.3a71-2 <em>De minimis</em> exception. -
240.3a71-2A
§ 240.3a71-2A Report regarding the “security-based swap dealer” and “major security-based swap participant” definitions (Appendix A to 17 CFR 240.3a71-2). -
240.3a71-3
§ 240.3a71-3 Cross-border security-based swap dealing activity. -
240.3a71-4
§ 240.3a71-4 Exception from aggregation for affiliated groups with registered security-based swap dealers. -
240.3a71-5
§ 240.3a71-5 Exception for cleared transactions executed on a swap execution facility. -
240.3a71-6
§ 240.3a71-6 Substituted compliance for security-based swap dealers and major security-based swap participants.