PocketLaw | CFR 17 | Further Definition of Swap, Security-Based Swap,

Further Definition of Swap, Security-Based Swap, and Security-Based Swap Agreement; Mixed Swaps; Security-Based Swap Agreement Recordkeeping

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Section
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.

Section
240.3a68-1b

Meaning of “narrow-based security index” as used in section 3(a)(68)(A)(ii)(I) of the Act.

Section
240.3a68-2

Requests for interpretation of swaps, security-based swaps, and mixed swaps.

Section
240.3a68-3

Meaning of “narrow-based security index” as used in the definition of “security-based swap.”

Section
240.3a68-4

Regulation of mixed swaps.

Section
240.3a68-5

Regulation of certain futures contracts on foreign sovereign debt.

Section
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.

Section
240.3a69-2

Definition of “swap” as used in section 3(a)(69) of the Act - additional products.

Section
240.3a69-3

Books and records requirements for security-based swap agreements.

Section
240.3a71-1

Definition of “security-based swap dealer.”

Section
240.3a71-2

<em>De minimis</em> exception.

Section
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).

Section
240.3a71-3

Cross-border security-based swap dealing activity.

Section
240.3a71-4

Exception from aggregation for affiliated groups with registered security-based swap dealers.

Section
240.3a71-5

Exception for cleared transactions executed on a swap execution facility.

Section
240.3a71-6

Substituted compliance for security-based swap dealers and major security-based swap participants.