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Security-Based Swap Dealer and Participant Definitions
Law
CFR 17
Commodity and Securities Exchanges
Securities and Exchange Commission
General Rules and Regulations, Securities Exchange Act of 1934
Rules and Regulations Under the Securities Exchange Act of 1934
Security-Based Swap Dealer and Participant Definitions
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Section
240.3a67-1
Definition of “major security-based swap participant.”
Section
240.3a67-2
Categories of security-based swaps.
Section
240.3a67-3
Definition of “substantial position.”
Section
240.3a67-4
Definition of “hedging or mitigating commercial risk.”
Section
240.3a67-5
Definition of “substantial counterparty exposure.”
Section
240.3a67-6
Definition of “financial entity.”
Section
240.3a67-7
Definition of “highly leveraged.”
Section
240.3a67-8
Timing requirements, reevaluation period, and termination of status.
Section
240.3a67-9
Calculation of major participant status by certain persons.
Section
240.3a67-10
Foreign major security-based swap participants.