Statutes, codes, and regulations
Code of Federal Regulations
Title 17 - COMMODITY AND SECURITIES EXCHANGESChapter II - SECURITIES AND EXCHANGE COMMISSIONPart 240 - GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934Subpart A - RULES AND REGULATIONS UNDER THE SECURITIES EXCHANGE ACT OF 1934
FURTHER DEFINITION OF SWAP, SECURITY-BASED SWAP, AND SECURITY-BASED SWAP AGREEMENT; MIXED SWAPS; SECURITY-BASED SWAP AGREEMENT RECORDKEEPING
Section 240.3a71-4 - Exception from aggregation for affiliated groups with registered security-based swap dealers

17 C.F.R. § 240.3a71-4

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Current through May 31, 2024
Section 240.3a71-4 - Exception from aggregation for affiliated groups with registered security-based swap dealers

Notwithstanding §§ 240.3a 71-2(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:

(a) Registered with the Commission as a security-based swap dealer; or
(b) Deemed not to be a security-based swap dealer pursuant to § 240.3a 71-2(b).

17 C.F.R. §240.3a71-4

79 FR 47370, Aug. 12, 2014