Documents

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

Federal Register · Rule · Aug 13, 2012

A final determination has not yet been issued. 509   See section 1a(24) of the CEA, 7 U.S.C. 1a(24). 510   See section 1a(25) of the CEA, 7 U.S.C. 1a(25). … Rule 1.3(xxx)(2) increases legal certainty that these types of agreements, contracts, and transactions are swaps. 1177  CEA section 1a(24), 7 U.S.C. 1a(24)(definition of a “foreign exchange forward

Further Definition of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant,” “Major Security-Based Swap Participant” and “Eligible Contract Participant”

Federal Register · Rule · May 23, 2012

24   See id. … See proposed Exchange Act rules 15Fb2-1(d)(1) and 15Fb3-1(b)(2), 76 FR 65784, 65821, 65823 (Oct. 24, 2012).

Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds

Federal Register · Rule · Jan 31, 2014

The final rule does not adopt a narrower definition of “underwriter,” as suggested by two commenters. 399 Although selling group members do not have a direct relationship with the issuer or selling … Agencies note that because banking entities that are selling group members will be underwriters under the final rule, they will be subject to all the requirements of the underwriting exemption. 399