Further Definition of Swap, Security-Based Swap, and Security-Based Swap Agreement; Mixed Swaps; Security-Based Swap Agreement Recordkeeping (Rules 3a68-1a to 3a71-6)

Rule 3a68-1a Meaning of “issuers of securities in a narrow-based security index” as used in section 3(a)(68)(A)(ii)(III) of the Act.

Rule 3a68-1b Meaning of “narrow-based security index” as used in section 3(a)(68)(A)(ii)(I) of the Act.

Rule 3a68-2 Requests for interpretation of swaps, security-based swaps, and mixed swaps.

Rule 3a68-3 Meaning of “narrow-based security index” as used in the definition of “security-based swap.”

Rule 3a68-4 Regulation of mixed swaps.

Rule 3a68-5 Regulation of certain futures contracts on foreign sovereign debt.

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.

Rule 3a69-2 Definition of “swap” as used in section 3(a)(69) of the Act – additional products.

Rule 3a69-3 Books and records requirements for security-based swap agreements.

Rule 3a71-1 Definition of “security-based swap dealer.”

Rule 3a71-2 De minimis exception.

Rule 3a71-2A Report regarding the “security-based swap dealer” and “major security-based swap participant” definitions (Appendix A to 17 CFR 240.3a71-2).

Rule 3a71-3 Cross-border security-based swap dealing activity.

Rule 3a71-4 Exception from aggregation for affiliated groups with registered security-based swap dealers.

Rule 3a71-5 Exception for cleared transactions executed on a swap execution facility.

Rule 3a71-6 Substituted compliance for security-based swap dealers and major security-based swap participants.