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Beneficial Ownership Reporting Requirements and Security-Based Swaps (Us Securities and Exchange Commission Regulation) (Sec) (2018 Edition) The Law Library

The Law Library presents the complete text of the Beneficial Ownership Reporting Requirements and Security-Based Swaps (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition).

Updated as of May 29, 2018



We are readopting without change the relevant portions of Rules 13d-3 and 16a-1. Readoption of these provisions will preserve the application of our existing beneficial ownership rules to persons who purchase or sell security-based swaps after the effective date of new Section 13(o) of the Securities Exchange Act of 1934. Section 13(o) provides that a person shall be deemed a beneficial owner of an equity security based on the purchase or sale of a security-based swap only to the extent we adopt rules after making certain determinations with respect to the purchase or sale of security-based swaps. After making the necessary determinations, we are readopting the relevant portions of Rules 13d-3 and 16a-1 to confirm that, following the July 16, 2011 statutory effective date of Section 13(o), persons who purchase or sell security-based swaps will remain within the scope of these rules to the same extent as they are now.



This ebook contains:

- The complete text of the Beneficial Ownership Reporting Requirements and Security-Based Swaps (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition)

- A dynamic table of content linking to each section

- A table of contents in introduction presenting a general overview of the structure