17 CFR 260.7a-15 - Scope of §§ 260.7a-15 to 260.7a-37. | Title 17 - Commodity and Securities Exchanges | Code of Federal Regulations

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§ 260.7a-15 Scope of §§ 260.7a-15 to 260.7a-37.

The rules contained in §§ 260.7a-15 to 260.7a-37 shall govern applications for exemption filed pursuant to section 304(c) or 304(d) of the Act, applications for qualification of indentures filed pursuant to section 307, statements of eligibility and qualifications of trustees filed pursuant to section 305, 307, or 310(a) of the Act, applications for the stay of the trustee's duty to resign filed pursuant to section 310(b) of the Act, and reports filed pursuant to section 314(a) of the Act.

[56 FR 22320, May 15, 1991]

Title 17 published on 2012-04-01

The following are only the Rules published in the Federal Register after the published date of Title 17.

For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.

2013-02-04; vol. 78 # 23 - Monday, February 4, 2013

78 FR 7654 - Extension of Exemptions for Security-Based Swaps

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2013-02191
RIN	3235-AL17
Release Nos.	33-9383
	34-68753
	39-2489
File No.	S7-26-11

SECURITIES AND EXCHANGE COMMISSION

Interim final rule; extension.

The amendments are effective February 4, 2013. See Section I of the SUPPLEMENTARY INFORMATION concerning amendment of expiration dates in the interim final rules.

17 CFR Parts 230, 240 and 260

Summary

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, 2014.

2012-04-05; vol. 77 # 66 - Thursday, April 5, 2012

77 FR 20536 - Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2012-8141
RIN	3235-AL16
Release Nos.	33-9308
	34-66703
	39-2484
File No.	S7-22-11

SECURITIES AND EXCHANGE COMMISSION

Final rule.

Effective Date: The final rules are effective April 16, 2012.

17 CFR Parts 230, 240 and 260

Summary

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 is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.

This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].

It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.

United States Code

USC : Title 12 - BANKS AND BANKING

§ 77ddd

USC : Title 15 - COMMERCE AND TRADE

§ 77eee - Securities required to be registered under Securities Act

§ 77ggg - Qualification of indentures covering securities not required to be registered

§ 77nnn - Reports by obligor; evidence of compliance with indenture provisions

§ 77sss - Rules, regulations, and orders

15 USC § -

15 USC § 79 to 79z–6 - Repealed.

15 USC § 80b–3 - Registration of investment advisers

15 USC § 80b–4 - Reports by investment advisers

15 USC § 80b–11 - Rules, regulations, and orders of Commission

Title 17 published on 2012-04-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 260 after this date.

2013-02-04; vol. 78 # 23 - Monday, February 4, 2013

78 FR 7654 - Extension of Exemptions for Security-Based Swaps

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2013-02191
RIN	3235-AL17
Release Nos.	33-9383
	34-68753
	39-2489
File No.	S7-26-11

SECURITIES AND EXCHANGE COMMISSION

Interim final rule; extension.

The amendments are effective February 4, 2013. See Section I of the SUPPLEMENTARY INFORMATION concerning amendment of expiration dates in the interim final rules.

17 CFR Parts 230, 240 and 260

Summary

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, 2014.

2012-04-05; vol. 77 # 66 - Thursday, April 5, 2012

77 FR 20536 - Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2012-8141
RIN	3235-AL16
Release Nos.	33-9308
	34-66703
	39-2484
File No.	S7-22-11

SECURITIES AND EXCHANGE COMMISSION

Final rule.

Effective Date: The final rules are effective April 16, 2012.

17 CFR Parts 230, 240 and 260

Summary

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.

17 CFR 260.7a-15 - Scope of §§ 260.7a-15 to 260.7a-37.

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