United States Government Publishing Office publisher pbl distributor dst United States National Archives and Records Administration Office of the Federal Register author aut Government Organization text government publication eng FR Regulatory Information 2018_register executive 2018-01-13 article Rules and Regulations D09002ee1c7ed64e5 D09002ee1c7ed65f9 United States Securities and Exchange Commission originator org United States Government Agency or Subagency We are adopting a rule under the Securities Act of 1933 ("Securities Act") to provide that certain communications involving security-based swaps will not be deemed to constitute "offers" of such security-based swaps for purposes of Section 5 of the Securities Act. The final rule covers the publication or distribution of price quotes that relate to security-based swaps that may be purchased only by persons who are eligible contract participants ("covered SBS") and are traded or processed on or through certain trading platforms. The final rule also covers a broker, dealer, or security-based swap dealer's publication or distribution of written communications that discuss covered SBS and that meet the definition of "research report" in Rule 139(d) under the Securities Act and certain other conditions. 83 FR 2046 https://www.govinfo.gov/app/details/FR-2018-01-16/2018-00347 2018-00347 fr16ja18-8 RIN 3235-AL41 8011-01-P Release No. 33-10450 File No. S7-09-14 https://www.govinfo.gov/app/details/FR-2018-01-16/2018-00347 https://www.govinfo.gov/content/pkg/FR-2018-01-16/html/2018-00347.htm https://www.govinfo.gov/content/pkg/FR-2018-01-16/pdf/2018-00347.pdf Reporting and Recordkeeping Requirements Securities 11 p. 2046 2056 83 FR 2046 Title 17 Part 230 17 CFR Part 230 RIN 3235-AL41 Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants; Federal Register Vol. 83, Issue RULE 2018-00347 SECURITIES AND EXCHANGE COMMISSION 2018-01-16 Release No. 33-10450 File No. S7-09-14 8011-01-P 2018-00347 Final rule.

We are adopting a rule under the Securities Act of 1933 ("Securities Act") to provide that certain communications involving security-based swaps will not be deemed to constitute "offers" of such security-based swaps for purposes of Section 5 of the Securities Act. The final rule covers the publication or distribution of price quotes that relate to security-based swaps that may be purchased only by persons who are eligible contract participants ("covered SBS") and are traded or processed on or through certain trading platforms. The final rule also covers a broker, dealer, or security-based swap dealer's publication or distribution of written communications that discuss covered SBS and that meet the definition of "research report" in Rule 139(d) under the Securities Act and certain other conditions.

Effective January 16, 2018. Andrew Schoeffler, Special Counsel, Office of Capital Markets Trends, Division of Corporation Finance, at (202) 551-3860, U.S. Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549-3628. Reporting and Recordkeeping Requirements Securities Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only By Eligible Contract Participants , Vol. 83, no. 10 Office of the Federal Register, National Archives and Records Administration 2018-01-16 continuing daily deposited born digital 310 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2018-01-16 P0b002ee197fde463 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr16ja18 https://www.govinfo.gov/app/details/FR-2018-01-16 https://www.govinfo.gov/content/pkg/FR-2018-01-16/pdf/FR-2018-01-16.pdf https://www.govinfo.gov/content/pkg/FR-2018-01-16/xml/FR-2018-01-16.xml fdlp 2029 2328 DGPO 2018-01-13 2024-06-01 FR-2018-01-16 machine generated eng FR FR-2018-01-16 83 10