Security Based Swaps - Exemptions (Us Securities and Exchange Commission Regulation) (Sec) (2018 Edition) PDF Download
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Author: The Law Library
Publisher: Independently Published
ISBN: 9781795249508
Category : Law
Languages : en
Pages : 28
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Book Description
The Law Library presents the complete text of the Security Based Swaps - Exemptions (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition). Updated as of May 29, 2018 We are adopting amendments to the expiration dates in our interim final rules that provide exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for those security-based swaps that prior to July 16, 2011 were security-based swap agreements and are defined as "securities" under the Securities Act and the Exchange Act as of July 16, 2011 due solely to the provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Under the amendments, the expiration dates in the interim final rules will be extended to February 11, 2017. If we adopt further rules relating to issues raised by the application of the Securities Act or the other federal securities laws to security-based swaps before February 11, 2017, we may determine to alter the expiration dates in the interim final rules as part of that rulemaking. This ebook contains: - The complete text of the Security Based Swaps - Exemptions (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition) - A dynamic table of content linking to each section - A table of contents in introduction presenting a general overview of the structure
Author: The Law Library
Publisher: Independently Published
ISBN: 9781795249508
Category : Law
Languages : en
Pages : 28
Get Book Here
Book Description
The Law Library presents the complete text of the Security Based Swaps - Exemptions (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition). Updated as of May 29, 2018 We are adopting amendments to the expiration dates in our interim final rules that provide exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for those security-based swaps that prior to July 16, 2011 were security-based swap agreements and are defined as "securities" under the Securities Act and the Exchange Act as of July 16, 2011 due solely to the provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Under the amendments, the expiration dates in the interim final rules will be extended to February 11, 2017. If we adopt further rules relating to issues raised by the application of the Securities Act or the other federal securities laws to security-based swaps before February 11, 2017, we may determine to alter the expiration dates in the interim final rules as part of that rulemaking. This ebook contains: - The complete text of the Security Based Swaps - Exemptions (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition) - A dynamic table of content linking to each section - A table of contents in introduction presenting a general overview of the structure
Author: The Law Library
Publisher: Independently Published
ISBN: 9781795389273
Category : Law
Languages : en
Pages : 30
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Book Description
The Law Library presents the complete text of the Exemptions For Security-Based Swaps (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition). Updated as of May 29, 2018 We are adopting interim final rules providing exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for those security-based swaps that under current law are security-based swap agreements and will be defined as "securities" under the Securities Act and the Exchange Act as of July 16, 2011 due solely to the provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The interim final rules will exempt offers and sales of these security-based swaps from all provisions of the Securities Act, other than the Section 17(a) anti-fraud provisions, as well as exempt these security-based swaps from Exchange Act registration requirements and from the provisions of the Trust Indenture Act, provided certain conditions are met. The interim final rules will remain in effect until the compliance date for final rules that we may adopt further defining the terms "security-based swap" and "eligible contract participant." This ebook contains: - The complete text of the Exemptions For Security-Based Swaps (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition) - A dynamic table of content linking to each section - A table of contents in introduction presenting a general overview of the structure
Author: The Law Library
Publisher: Independently Published
ISBN: 9781795309899
Category : Law
Languages : en
Pages : 38
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Book Description
The Law Library presents the complete text of the Exemptions For Security-Based Swaps Issued By Certain Clearing Agencies (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition). Updated as of May 29, 2018 We are adopting exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for security-based swaps issued by certain clearing agencies satisfying certain conditions. The final rules exempt transactions by clearing agencies in these security-based swaps from all provisions of the Securities Act, other than the Section 17(a) anti-fraud provisions, as well as exempt these security-based swaps from Exchange Act registration requirements and from the provisions of the Trust Indenture Act, provided certain conditions are met. This ebook contains: - The complete text of the Exemptions For Security-Based Swaps Issued By Certain Clearing Agencies (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition) - A dynamic table of content linking to each section - A table of contents in introduction presenting a general overview of the structure
Author: The Law Library
Publisher: Independently Published
ISBN: 9781794340992
Category : Law
Languages : en
Pages : 48
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Book Description
The Law Library presents the complete text of the Exemptive Orders - Temporary Exemptions and Other Temporary Relief Applicable to Security-Based Swaps (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition). Updated as of May 29, 2018 The Securities and Exchange Commission ("Commission") is issuing an exemptive order granting temporary exemptive relief and other temporary relief from compliance with certain provisions of the Securities Exchange Act of 1934 ("Exchange Act") concerning security-based swaps. The Commission also is providing guidance regarding compliance with other provisions of the Exchange Act concerning security-based swaps that were amended or added by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 ("Dodd-Frank Act") and requesting comments on such guidance and the temporary relief granted. This ebook contains: - The complete text of the Exemptive Orders - Temporary Exemptions and Other Temporary Relief Applicable to Security-Based Swaps (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition) - A dynamic table of content linking to each section - A table of contents in introduction presenting a general overview of the structure
Author: The Law Library
Publisher: Independently Published
ISBN: 9781794339385
Category : Law
Languages : en
Pages : 28
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Book Description
The Law Library presents the complete text of the Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only By Eligible Contract Participants (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition). Updated as of May 29, 2018 We are adopting a rule under the Securities Act of 1933 ("Securities Act") to provide that certain communications involving security-based swaps will not be deemed to constitute "offers" of such security-based swaps for purposes of Section 5 of the Securities Act. The final rule covers the publication or distribution of price quotes that relate to security-based swaps that may be purchased only by persons who are eligible contract participants ("covered SBS") and are traded or processed on or through certain trading platforms. The final rule also covers a broker, dealer, or security-based swap dealer's publication or distribution of written communications that discuss covered SBS and that meet the definition of "research report" in Rule 139(d) under the Securities Act and certain other conditions. This ebook contains: - The complete text of the Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only By Eligible Contract Participants (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition) - A dynamic table of content linking to each section - A table of contents in introduction presenting a general overview of the structure
Author: The Law Library
Publisher: Independently Published
ISBN: 9781794600126
Category : Law
Languages : en
Pages : 90
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Book Description
The Law Library presents the complete text of the Security-Based Swap Dealer De Minimis Exceptions - Security-Based Swap Transactions Connected with a Non-U.S. Person's Dealing Activity (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition). Updated as of May 29, 2018 The Securities and Exchange Commission ("SEC" or "Commission") is adopting amendments to Exchange Act rules 3a71-3 and 3a71-5 that address the application of the de minimis exception to security-based swap transactions connected with a non-U.S. person's security-based swap dealing activity that are arranged, negotiated, or executed by personnel of such person located in a U.S. branch or office, or by personnel of such person's agent, located in a U.S. branch or office. This ebook contains: - The complete text of the Security-Based Swap Dealer De Minimis Exceptions - Security-Based Swap Transactions Connected with a Non-U.S. Person's Dealing Activity (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition) - A dynamic table of content linking to each section - A table of contents in introduction presenting a general overview of the structure
Author: The Law Library
Publisher: Independently Published
ISBN: 9781794677524
Category : Law
Languages : en
Pages : 372
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Book Description
The Law Library presents the complete text of the Definitions - Mixed Swaps - Security-Based Swap Agreement Recordkeeping (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition). Updated as of May 29, 2018 In accordance with section 712(a)(8), section 712(d)(1), sections 712(d)(2)(B) and (C), sections 721(b) and (c), and section 761(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act"), the Commodity Futures Trading Commission ("CFTC") and the Securities and Exchange Commission ("SEC") (collectively, "Commissions"), in consultation with the Board of Governors of the Federal Reserve System ("Board"), are jointly adopting new rules and interpretations under the Commodity Exchange Act ("CEA") and the Securities Exchange Act of 1934 ("Exchange Act") to further define the terms "swap," "security-based swap," and "security-based swap agreement" (collectively, "Product Definitions"); regarding "mixed swaps;" and governing books and records with respect to "security-based swap agreements." The CFTC requests comment on its interpretation concerning forwards with embedded volumetric optionality, contained in Section II.B.2.(b)(ii) of this release. This ebook contains: - The complete text of the Definitions - Mixed Swaps - Security-Based Swap Agreement Recordkeeping (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition) - A dynamic table of content linking to each section - A table of contents in introduction presenting a general overview of the structure
Author: The Law Library
Publisher: Independently Published
ISBN: 9781794406759
Category : Law
Languages : en
Pages : 58
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Book Description
The Law Library presents the complete text of the Access to Data Obtained by Security-Based Swap Data Repositories (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition). Updated as of May 29, 2018 Pursuant to section 763(i) of Title VII ("Title VII") of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 ("Dodd-Frank Act"), the Securities and Exchange Commission ("Commission") is adopting amendments to rule 13n-4 under the Securities Exchange Act of 1934 ("Exchange Act") related to regulatory access to security-based swap data held by security-based swap data repositories. The rule amendments would implement the conditional Exchange Act requirement that security-based swap data repositories make data available to certain regulators and other authorities. This ebook contains: - The complete text of the Access to Data Obtained by Security-Based Swap Data Repositories (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition) - A dynamic table of content linking to each section - A table of contents in introduction presenting a general overview of the structure
Author: The Law Library
Publisher: Independently Published
ISBN: 9781794279643
Category : Law
Languages : en
Pages : 30
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Book Description
The Law Library presents the complete text of the Reporting of Security-Based Swap Transaction Data (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition). Updated as of May 29, 2018 Section 766 of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act") requires the Securities and Exchange Commission ("Commission") to adopt an interim final rule for the reporting of security-based swaps entered into before July 21, 2010, the terms of which had not expired as of that date ("pre-enactment security-based swap transactions"), within 90 days of the enactment of the Dodd-Frank Act. Pursuant to this requirement, the Commission today is adopting an interim final temporary rule that requires specified counterparties to pre-enactment security-based swap transactions to report certain information relating to pre-enactment security-based swaps to a registered security-based swap data repository or to the Commission by the compliance date established in the security-based swap reporting rules required under Sections 3C(e) and 13A(a) of the Securities Exchange Act of 1934 ("Exchange Act"), (1) or within 60 days after a registered security-based swap data repository commences operations to receive and maintain data concerning such security-based swaps, whichever occurs first and report information relating to pre-enactment security-based swaps to the Commission upon request. The Commission also is issuing an Interpretive Note to the rule that states that counterparties that may be required to report to the Commission will need to preserve information pertaining to the terms of these pre-enactment security-based swaps. This ebook contains: - The complete text of the Reporting of Security-Based Swap Transaction Data (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition) - A dynamic table of content linking to each section - A table of contents in introduction presenting a general overview of the structure
Author: The Law Library
Publisher: Independently Published
ISBN: 9781795393430
Category : Law
Languages : en
Pages : 218
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Book Description
The Law Library presents the complete text of the Applications - Security-Based Swap Dealer and Major Security-Based Swap Participant Definitions to Cross-Border Security-Based Swap Activities (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition). Updated as of May 29, 2018 The Securities and Exchange Commission ("SEC" or "Commission") is adopting rules and providing guidance to address the application of certain provisions of the Securities Exchange Act of 1934 ("Exchange Act") that were added by Subtitle B of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act"), to cross-border security-based swap activities. These rules and guidance in large part focus on the application of the Title VII definitions of "security-based swap dealer" and "major security-based swap participant" in the cross-border context. The Commission also is adopting a procedural rule related to the submission of applications for substituted compliance. In addition, the Commission is adopting a rule addressing the scope of our authority, with respect to enforcement proceedings, under section 929P of the Dodd-Frank Act. This ebook contains: - The complete text of the Applications - Security-Based Swap Dealer and Major Security-Based Swap Participant Definitions to Cross-Border Security-Based Swap Activities (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition) - A dynamic table of content linking to each section - A table of contents in introduction presenting a general overview of the structure
