Documents

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

“any person, other than an issuer, on whose behalf a distribution is made.”  398 This definition is consistent with the definition of “selling security holder” found in the SEC's Regulation M. 399 … interest in such right (whether whole or fractional) who creates fractional interests therein for the purpose of public offering.” 15 U.S.C. 77b(a)(4). 398  Final rule § __.4(a)(5). 399

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).

Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants

Federal Register · Rule · May 13, 2016

calculation, such as requiring independent third-party quotes or limiting the context in which an SBS Entity can use its own bid and offer prices or requiring the daily mark to be an actionable quote. 399 … Consistent with the considerations outlined above, an SBS Entity may choose to do these calculations in-house or to use independent third-party valuation services, as suggested by a commenter. 401 399