Document ID: chunk:federal_register_of_legislation:F2023C00827:reg:2:p3
Version: federal_register_of_legislation:F2023C00827
Segment Type: reg
Provision Reference: reg 2 (pt 3/10)
Character Range: 7042–9657

under section 17(d)(1)(A) of the Exchange Act in any respect.
Exchange Act means the Securities and Exchange Act of 1934 of the US.
FINRA means the Financial Industry Regulation Authority.
registered broker dealer means a broker or dealer registered under section 15(b) of the Exchange Act.
       registered investment adviser means a body corporate or a partnership formed in the US or a State of the US registered under section 203(c) of the Investment Advisers Act of 1940 of the US.

6 Meaning of US Federal Reserve and OCC regulated financial service provider
(1) For the purposes of this instrument, a US Federal Reserve and OCC regulated financial service provider is a corporation to which the following apply:
(a)  the corporation is:
(i)  a bank holding company within the meaning given by section 2(a) of the Bank Holding Company Act of 1956 of the US or a subsidiary (that is not a bank within the meaning of section 2(c) of that Act) of such a bank holding company, in either case, where all of its activities are subject to a determination under either section 4(c)(8) or section 4(k) of that Act; or
(ii)  the subject of a certificate of the OCC under section 27 of Title 12 of the United States Code or a subsidiary (that carries on a banking business) of a body that is subject to such a certificate; or
(iii)  a corporation (an Edge corporation) established and approved as an Edge corporation under section 211(5) of Title 12 of the Code of Federal Regulations of the US or a subsidiary of an Edge corporation;
(b) except in the case of a subsidiary of an Edge corporation, the corporation is:
(i)  a body corporate incorporated in the US or a State of the US; or
(ii)  a partnership that is a foreign company formed in the US or a State of the US;
              Note:  By subsection 761H(1) of the Act, the operation of this instrument in relation to partnerships is affected by section 761F and subsection 769B(4) of the Act.
 (c)  the corporation carries on business in the US.

7 Meaning of US CFTC regulated financial services provider
(1) For the purposes of this instrument, a US CFTC regulated financial services provider is a foreign company to which the following apply:
(a)  the foreign company is:
(i) a registered futures commission merchant; or
(ii)  a registered introducing broker; or
(iii)  a registered commodity pool operator; or
(iv)  a registered commodity trading advisor;
(b)  the foreign company is:
(i)  a body corporate incorporated in the US or a State of the US; or
(ii)  a partnership formed in the US or a State of the US;
              Note:  By subsection 761H(1)