Subjgrp 63. Further Definition of Swap, Security-Based Swap, and Security-Based Swap Agreement; Mixed Swaps; Security-Based Swap Agreement Recordkeeping

• § 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.
• § 240.3a68-1b - Meaning of “narrow-based security index” as used in section 3(a)(68)(A)(ii)(I) of the Act.
• § 240.3a68-2 - Requests for interpretation of swaps, security-based swaps, and mixed swaps.
• § 240.3a68-3 - Meaning of “narrow-based security index” as used in the definition of “security-based swap.”
• § 240.3a68-4 - Regulation of mixed swaps.
• § 240.3a68-5 - Regulation of certain futures contracts on foreign sovereign debt.
• § 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.
• § 240.3a69-2 - Definition of “swap” as used in section 3(a)(69) of the Act—additional products.
• § 240.3a69-3 - Books and records requirements for security-based swap agreements.
• § 240.3a71-1 - Definition of “security-based swap dealer.”
• § 240.3a71-2 - De minimis exception.
• § 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).
• § 240.3a71-3 - Cross-border security-based swap dealing activity.
• § 240.3a71-4 - Exception from aggregation for affiliated groups with registered security-based swap dealers.
• § 240.3a71-5 - Exception for cleared transactions executed on a swap execution facility.
• § 240.3a71-6 - Substituted compliance for security-based swap dealers and major security-based swap participants.