§ 240.3a71-4 — a71-4 Exception From Aggregation For Affiliated Groups With Registered Security-based Swap Dealers

Authorizing Statute

• Jurisdiction of Commission; liability of principal for act of agent; Commodity Futures Trading Commission; transaction in interstate commerce

  7 U.S.C. § 2
• Records and reports

  15 U.S.C. § 78q
• Registration of securities

  15 U.S.C. § 77f
• Registration and regulation of brokers and dealers

  15 U.S.C. § 78o
• Foreign securities exchanges

  15 U.S.C. § 78dd
• Information required in registration statement

  15 U.S.C. § 77g
• General provisions of a liquidation proceeding

  15 U.S.C. § 78fff
• Necessity for regulation

  15 U.S.C. § 78b
• Proxies

  15 U.S.C. § 78n
• Classes of securities under this subchapter

  15 U.S.C. § 77c
• Registration requirements for securities

  15 U.S.C. § 78l
• Executive compensation and corporate governance

  12 U.S.C. § 5221
• Findings and purposes

  12 U.S.C. § 5461
• Definitions; promotion of efficiency, competition, and capital formation

  15 U.S.C. § 77b
• Creation; membership; compensation and expenses

  12 U.S.C. § 241
• Short title

  15 U.S.C. § 78a
• Trading by members of exchanges, brokers, and dealers

  15 U.S.C. § 78k
• Manipulative and deceptive devices

  15 U.S.C. § 78j
• Operations of designated financial market utilities

  12 U.S.C. § 5465
• Definitions and application

  15 U.S.C. § 78c
• National securities exchanges

  15 U.S.C. § 78f
• Rules, regulations, and orders; annual reports

  15 U.S.C. § 78w
• Comprehensive energy plan

  15 U.S.C. § 781
• Transaction fees

  15 U.S.C. § 78ee
• Failure of corporate officers to certify financial reports

  18 U.S.C. § 1350