17 CFR 240.3a71-4
§ 240.3a71-4 Exception from aggregation for affiliated groups with registered security-based swap dealers.
United States · 17 CFR — Commodity and Securities Exchanges · Status: effective
Cite this
- Citation
- 17 CFR 240.3a71-4, § 240.3a71-4 Exception from aggregation for affiliated groups with registered security-based swap dealers, United States, version 1 as recorded 2026-07-09, yourstate.us, https://yourstate.us/provision/68929
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Full text
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).
Legislative history
This is a federal regulation, adopted through agency rulemaking under the Administrative Procedure Act — not enacted by a recorded vote of Congress.