Rules & Regulations

Appendix A to §240.3a71-2 sets forth guidelines applicable to a report that the Commission has directed its staff to make in connection with the rules ...

(a) Definitions. As used in this section, the following terms shall have the meanings indicated: (1) Conduit affiliate—(i) Definition. Conduit affiliate means a person, other ...

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 ...

(a) For purposes of §240.3a71-3(b)(1), a non-U.S. person, other than a conduit affiliate, shall not include its security-based swap transactions that are entered into anonymously ...

240.3b-1   Definition of “listed”.The term listed means admitted to full trading privileges upon application by the issuer or its fiscal agent or, in the case of ...

The term officer means a president, vice president, secretary, treasury or principal financial officer, comptroller or principal accounting officer, and any person routinely performing corresponding ...

(a) The term foreign government means the government of any foreign country or of any political subdivision of a foreign country. (b) The term foreign ...

(a) Any part of an obligation evidenced by any bond, note, debenture, or other evidence of indebtedness issued by any governmental unit specified in section ...

(a) A statement within the coverage of paragraph (b) of this section which is made by or on behalf of an issuer or by an ...

The term executive officer, when used with reference to a registrant, means its president, any vice president of the registrant in charge of a principal ...