REQUEST PROCESS. In making a re- quest pursuant to paragraph (a) of this section, the requesting person must provide the Commission and the Secu- rities and Exchange Commission with the following: (1) All material information regard- ing the terms of the agreement, con- tract, or transaction (or class thereof); (2) A statement of the economic char- acteristics and purpose of the agree- ment, contract, or transaction (or class thereof); (3) The requesting person’s deter- mination as to whether the agreement, contract, or transaction (or class thereof) should be characterized as a swap, a security-based swap, or both, (i.e., a mixed swap), including the basis for such determination; and (4) Such other information as may be requested by the Commission or the Securities and Exchange Commission.
Appears in 4 contracts
Sources: Regulatory Compliance, Security Based Swap Agreements, Security Based Swap Agreements