0180. Application of Rules to Security-Based Swaps
• • • Supplementary Material: --------------
.01 Definition of Security-Based Swaps. For purposes of this Rule, "security-based swap" shall be as defined pursuant to Exchange Act Section 3(a)(68) and the rules and guidance of the SEC or its staff.
Amended by SR-FINRA-2021-021 eff. Sept. 1, 2021. Amended by SR-FINRA-2020-001 eff. Feb. 12, 2020. Amended by SR-FINRA-2019-001 eff. Feb. 12, 2019. Amended by SR-FINRA-2018-001 eff. Feb. 12, 2018. Amended by SR-FINRA-2017-001 eff. Feb. 11, 2017. Amended by SR-FINRA-2016-001 eff. Feb. 11, 2016. Amended by SR-FINRA-2015-001 eff. Feb. 11, 2015. Amended by SR-FINRA-2014-001 eff. Feb. 11, 2014. Amended by SR-FINRA-2013-019 eff. July 17, 2013. Amended by SR-FINRA-2012-056 eff. Dec. 12, 2012. Amended by SR-FINRA-2012-004 eff. Jan. 13, 2012. Adopted by SR-FINRA-2011-033 eff. July 8, 2011. Selected Notices: 22-03. |