17 CFR 240.3a71-4 - Exception from aggregation for affiliated groups with registered security-based swap dealers.

Regulations last checked for updates: May 03, 2024

Title 17 - Commodity and Securities Exchanges last revised: May 01, 2024

View all text of Subpart A [§ 240.0-1 - § 240.12a-11]

§ 240.3a71-4 - Exception from aggregation for affiliated groups with registered security-based swap dealers.

Notwithstanding §§ 240.3a71-2(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 § 240.3a71-2(b).

[79 FR 47370, Aug. 12, 2014]

authority: 15 U.S.C. 77c,77d,77g,77j,77s,77z,77z,77eee,77ggg,77nnn,77sss,77ttt,78c,78c-3,78c-5,78d,78e,78f,78g,78i,78j,78j-1,78j-4,78k,78k-1,78

cite as: 17 CFR 240.3a71-4