Rules & Regulations

(a) The term business day means any day other than a Saturday, Sunday, or legal holiday. (b) The term clearing agency means a clearing agency ...

(a) Trade acknowledgment requirement. In any transaction in which a security-based swap dealer or major security-based swap participant purchases from or sells to any counterparty ...

(a) Determinations—(1) In general. Subject to paragraph (a)(2) of this section, the Commission may, conditionally or unconditionally, by order, make a determination with respect to ...

(a) Scope. Sections 240.15Fh–1 through 240.15Fh–6, and 240.15Fk–1 are not intended to limit, or restrict, the applicability of other provisions of the federal securities laws, ...

(a) Act as an advisor to a special entity. A security-based swap dealer acts as an advisor to a special entity when it recommends a ...

(a) Counterparty status—(1) Eligible contract participant. A security-based swap dealer or a major security-based swap participant shall verify that a counterparty meets the eligibility standards ...

(a) Antifraud provisions. It shall be unlawful for a security-based swap dealer or major security-based swap participant: (1) To employ any device, scheme, or artifice ...

(a)(1) A security-based swap dealer or major security-based swap participant that offers to enter into or enters into a security-based swap with a special entity, ...

(a) Definitions. For the purposes of this section: (1) The term contribution means any gift, subscription, loan, advance, or deposit of money or anything of ...

(a) In general. A security-based swap dealer and major security-based swap participant shall designate an individual to serve as a chief compliance officer on its ...