17 CFR Topic
Further Definition of Swap, Security-Based Swap, and Security-Based Swap Agreement; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
April 15, 2021
§
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
Meaning of “narrow-based security index” as used in section 3(a)(68)(A)(ii)(I) of the Act
§
240.3a68-2
Requests for interpretation of swaps, security-based swaps, and mixed swaps
§
240.3a68-3
Meaning of “narrow-based security index” as used in the definition of “security-based swap.”
§
240.3a68-4
Regulation of mixed swaps
§
240.3a68-5
Regulation of certain futures contracts on foreign sovereign debt
§
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
Definition of “swap” as used in section 3(a)(69) of the Act—additional products
§
240.3a69-3
Books and records requirements for security-based swap agreements
§
240.3a71-1
Definition of “security-based swap dealer.”
§
240.3a71-2
De minimis exception
§
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
Cross-border security-based swap dealing activity
§
240.3a71-4
Exception from aggregation for affiliated groups with registered security-based swap dealers
§
240.3a71-5
Exception for cleared transactions executed on a swap execution facility
§
240.3a71-6
Substituted compliance for security-based swap dealers and major security-based swap participants
Tried the LawStack mobile app?
Join thousands and try LawStack mobile for FREE today.
- Carry the law offline, wherever you go.
- Download CFR, USC, rules, and state law to your mobile device.
