Broker-Dealers Rule 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 RCW Staff - January 1 2015 Share A- A+ 100% Create an account to continue reading Gain instant access to our expert editorial analysis and in-depth insight. Register for free Already have an account? Sign in