federal_register: 2016-03178

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document_number title type abstract publication_date pub_year pub_month html_url pdf_url agency_names agency_ids excerpts regulation_id_numbers
2016-03178 Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent; Security-Based Swap Dealer De Minimis Exception Rule 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. 2016-02-19 2016 2 https://www.federalregister.gov/documents/2016/02/19/2016-03178/security-based-swap-transactions-connected-with-a-non-us-persons-dealing-activity-that-are-arranged https://www.govinfo.gov/content/pkg/FR-2016-02-19/pdf/2016-03178.pdf Securities and Exchange Commission 466 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....  

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