a71-4 Exception from aggregation for affiliated groups with registered security-based swap dealers.
17 C.F.R. § 240.3a71-4
in effectEffective: 2024-07-01Notwithstanding §§ 240.3a71-2(a)(1) and 240.3a71-3(b)(2), a person shall not include the security-based swap transactions of another person (an “affiliate”) controlling, controlled by, or under common control with such person where such affiliate either is:
(a) Registered with the Commission as a security-based swap dealer; or
(b) Deemed not to be a security-based swap dealer pursuant to § 240.3a71-2(b).
Source: eCFRURL: https://www.ecfr.gov/api/versioner/v1/full/2024-07-01/title-17.xmlFetched: 7/26/2026