Rules & Regulations

For the purposes of Regulation U under the Act (12 CFR part 221): (a) The term Qualified OTC Market Maker in an over-the-counter (“OTC”) margin ...

For purposes of sections 6(b)(9), 14(h) and 15A(b)(12)-(13) of the Act (15 U.S.C. 78f(b)(9), 78n(h) and 78o-3(b)(12)-(13)): (a) The term limited partnership roll-up transaction does ...

The term OTC derivatives dealer means any dealer that is affiliated with a registered broker or dealer (other than an OTC derivatives dealer), and whose ...

(a) Except as otherwise provided in paragraph (b) of this section, the term eligible OTC derivative instrument means any contract, agreement, or transaction that: (1) ...

The term cash management securities activities means securities activities that are limited to transactions involving: (a) Any taking possession of, and any subsequent sale or ...

(a) The term ancillary portfolio management securities activities means securities activities that: (1) Are limited to transactions in connection with: (i) Dealer activities in eligible ...

(a) An organization, association, or group of persons shall be considered to constitute, maintain, or provide “a market place or facilities for bringing together purchasers ...

For the purposes of section 3(a)(5)(C) of the Act (15 U.S.C. 78c(a)(5)(C): (a) The term affiliate means any company that controls, is controlled by, or ...

The following applies with respect to asset-backed securities under the Act. Terms used in this section have the same meaning as in Item 1101 of ...

(a) After making a determination pursuant to a clearing agency's security-based swap submission that a security-based swap, or any group, category, type or class of ...