StacksVerified U.S. regulatory reference

17 CFR §240.3a71-4

Verified against eCFR.gov as of June 20, 2026View official text on eCFR.gov ↗
Notwithstanding §§ 240.3a71-2(a)(1) and 240.3a71-3(b)(2), a person shall not include the security-based swap transactions of another person (an “affiliate”) controlling, controlled by, or under common control with such person where such affiliate either is:
  1. (a)Registered with the Commission as a security-based swap dealer; or
  2. (b)Deemed not to be a security-based swap dealer pursuant to § 240.3a71-2(b).