cfr_sections
Data license: Public Domain (U.S. Government data) · Data source: Federal Register API & Regulations.gov API
5 rows where part_number = 420 and title_number = 17 sorted by section_id
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| section_id ▼ | title_number | title_name | chapter | subchapter | part_number | part_name | subpart | subpart_name | section_number | section_heading | agency | authority | source_citation | amendment_citations | full_text |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 17:17:5.0.2.1.7.0.43.1 | 17 | Commodity and Securities Exchanges | IV | A | 420 | PART 420—LARGE POSITION REPORTING | § 420.1 Applicability. | SEC | (a) This part is applicable to all persons that participate in the government securities market, including, but not limited to: Government securities brokers and dealers, depository institutions that exercise investment discretion, registered investment companies, registered investment advisers, pension funds, hedge funds, and insurance companies that may control a position in a recently-issued marketable Treasury bill, note, or bond as those terms are defined in § 420.2. (b) Notwithstanding paragraph (a) of this section, Treasury requests that central banks (including U.S. Federal Reserve Banks for their own account), foreign governments, and international monetary authorities voluntarily submit large position reports when they meet or exceed a reporting threshold. | ||||||
| 17:17:5.0.2.1.7.0.43.2 | 17 | Commodity and Securities Exchanges | IV | A | 420 | PART 420—LARGE POSITION REPORTING | § 420.2 Definitions. | SEC | For the purposes of this part: Aggregating entity means a single entity ( e.g., a parent company, affiliate, or organizational component) that is combined with other entities, as specified in the definition of “reporting entity” of this section, to form a reporting entity. In those cases where an entity has no affiliates, the aggregating entity is the same as the reporting entity. Control means having the authority to exercise investment discretion over the purchase, sale, retention, or financing of specific Treasury securities. Large position threshold means the minimum dollar par amount of the specified Treasury security that a reporting entity must control in order for the entity to be required to submit a large position report. It also means the minimum number of futures, options on futures, and exchange-traded options contracts for which the specified Treasury security is deliverable that the reporting entity must control in order for the entity to be required to submit a large position report. Treasury will announce the large position thresholds, which may vary with each notice of request to report large position information and with each specified Treasury security. Treasury may announce different thresholds for certain reporting criteria. Under no circumstances will a large position threshold be less than 10 percent of the amount outstanding of the specified Treasury security. Recently-issued means: (1) With respect to Treasury securities that are issued quarterly or more frequently, the three most recent issues of the security. (2) With respect to Treasury securities that are issued less frequently than quarterly, the two most recent issues of the security. (3) With respect to a reopened security, the entire issue of a reopened security (older and newer portions) based on the date the new portion of the reopened security is issued by Treasury (or for when-issued securities, the scheduled issue date). (4) For all Treasury securities, a security announced to be issued or auctioned but unissued… | ||||||
| 17:17:5.0.2.1.7.0.43.3 | 17 | Commodity and Securities Exchanges | IV | A | 420 | PART 420—LARGE POSITION REPORTING | § 420.3 Reporting. | SEC | [79 FR 73414, Dec. 10, 2014, as amended at 83 FR 52768, Oct. 18, 2018] | (a) A reporting entity must file a large position report if it meets the reporting requirement as defined in § 420.2. Treasury will provide notice of the large position thresholds by issuing a public announcement and subsequently publishing the notice in the Federal Register. Such notice will identify the Treasury security issue(s) to be reported (including, where applicable, identifying the related STRIPS principal component); the date or dates for which the large position information must be reported; and the large position thresholds for that issue. A reporting entity is responsible for taking reasonable actions to be aware of such a notice. (b) A reporting entity shall select one entity from among its aggregating entities ( i.e., the designated filing entity) as the entity designated to compile and file a report on behalf of the reporting entity. The designated filing entity shall be responsible for filing any large position reports in response to a notice issued by Treasury and for maintaining the additional records prescribed in § 420.4. (c)(1) In response to a notice issued under paragraph (a) of this section requesting large position information, a reporting entity that controls an amount of the specified Treasury security that equals or exceeds one of the specified large position thresholds stated in the notice shall compile and report the amounts of the reporting entity's positions in the order specified, as follows: (i) Part I. Positions in the Security Being Reported as of the Opening of Business on the Report Date, including positions: (A) In book-entry accounts of the reporting entity; (B) As collateral against borrowings of funds on general collateral finance repurchase agreements; (C) As collateral against borrowings of funds on tri-party repurchase agreements; (D) As collateral or margin to secure other contractual obligations of the reporting entity; and (E) Otherwise available to the reporting entity. (ii) Part II. Settlement Obligations Attributable to Outright Purchase and Sal… | |||||
| 17:17:5.0.2.1.7.0.43.4 | 17 | Commodity and Securities Exchanges | IV | A | 420 | PART 420—LARGE POSITION REPORTING | § 420.4 Recordkeeping. | SEC | (a) Recordkeeping responsibility of aggregating entities. Notwithstanding the provisions of paragraphs (b) and (c) of this section, an aggregating entity that controls a portion of its reporting entity's position in a recently-issued Treasury security, when such position of the reporting entity equals or exceeds $2 billion, shall be responsible for making and maintaining the records prescribed in this section. (b) Records to be made and preserved by entities that are subject to the recordkeeping provisions of the SEC, Treasury, or the appropriate regulatory agencies for financial institutions. As an aggregating entity, compliance by a registered broker or dealer, registered government securities broker or dealer, noticed financial institution, depository institution that exercises investment discretion, registered investment adviser, or registered investment company with the applicable recordkeeping provisions of the SEC, Treasury, or the appropriate regulatory agencies for financial institutions shall constitute compliance with this section, provided that, if such entity is also the designated filing entity, it: (1) Makes and keeps copies of all large position reports filed pursuant to this part; (2) Makes and keeps supporting documents or schedules used to compute data for the large position reports filed pursuant to this part, including any certifications or schedules it receives from aggregating entities pertaining to their holdings of the reporting entity's position; (3) Makes and keeps a chart showing the organizational entities that are aggregated (if applicable) in determining the reporting entity's position; and (4) With respect to recordkeeping preservation requirements that contain more than one retention period, preserves records required by paragraphs (b)(1) through (3) of this section for the longest record retention period of applicable recordkeeping provisions. (c) Records to be made and preserved by other entities. (1) An aggregating entity that is not subject to the provisions of par… | ||||||
| 17:17:5.0.2.1.7.0.43.5 | 17 | Commodity and Securities Exchanges | IV | A | 420 | PART 420—LARGE POSITION REPORTING | § 420.5 Applicability date. | SEC | The provisions of this part shall be first applicable beginning March 31, 1997. |
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CREATE TABLE cfr_sections (
section_id TEXT PRIMARY KEY,
title_number INTEGER,
title_name TEXT,
chapter TEXT,
subchapter TEXT,
part_number TEXT,
part_name TEXT,
subpart TEXT,
subpart_name TEXT,
section_number TEXT,
section_heading TEXT,
agency TEXT,
authority TEXT,
source_citation TEXT,
amendment_citations TEXT,
full_text TEXT
);
CREATE INDEX idx_cfr_title ON cfr_sections(title_number);
CREATE INDEX idx_cfr_part ON cfr_sections(part_number);
CREATE INDEX idx_cfr_agency ON cfr_sections(agency);