A banking institution or similar entity, as specified below:
a. A banking institution chartered by the Office of the Comptroller of the Currency;
b. A banking institution organized under the laws of any State, territory, or the District of Columbia, the business of which is substantially confined to banking and is supervised by the State or territorial banking commission or similar official; or
c. A savings and loan association, building and loan association, cooperative bank, homestead association, or similar institution, which is supervised and 24 examined by State or federal authority having supervision over any such institution.
A broker or dealer that is registered pursuant to Section 15 of the Securities Exchange Act of 1934, as amended; and is a member of all requisite selfregulatory organizations.
A futures commission merchant, introducing broker, commodity pool operator, commodity trading advisor, floor broker or floor trader as specified below:
a. A member of the National Futures Association that is registered, pursuant to the Commodity Exchange Act and the Commodity Futures Trading Commission’s regulations, as a futures commission merchant, introducing broker, commodity pool operator, commodity trading advisor floor broker or floor trader; or
b. A commodity pool operator or commodity trading advisor that is exempt from registration pursuant to Part 4 of the Commodity Futures Trading Commission’s regulations and has filed a notice of such exemption from registration with the National Futures Association pursuant to the Commodity Futures Trading Commission’s regulations.
A registered investment company or adviser, as specified below:
a. An investment company registered under the Investment Company Act of 1940, as amended; or
b. An investment adviser registered under the Investment Advisers Act of 1940, as amended.
A fund that has assets under management with an aggregate market value of no less than $100 million and that is advised or managed by an investment adviser registered under the Investment Advisers Act of 1940, as amended.
A “business development company” as defined in (A) Section 2(a)(13) of the Investment Company Act of 1940, as amended, or (B) Section 202(a)(22) of the Investment Advisers Act of 1940, as amended.
An employee benefit plan or trust fund, as specified below:
a. A plan established and maintained by a State, its political subdivisions, or any agency or instrumentality of a State or its political subdivisions, for the benefit of its employees; or
b. An employee benefit plan within the meaning of title I of the Employee Retirement Income Security Act of 1974, as amended.
c. A trust fund whose trustee is a Bank and whose participants are exclusively plans of the types identified in this item G above, except trust funds that include as participants individual retirement accounts or H.R. 10 plans. 25
A seller that has been granted authorization to engage in sales for resale of electric energy, capacity or ancillary services from the Federal Energy Regulatory Commission pursuant to Section 205 of the Federal Power Act, as amended, and the requirements of 18 C.F.R. § 35.
A broker, trader or similar person explicitly approved by the Reserve for an account that trades only in environmental commodity transactions that are intended to be physically settled and are:
a. Excluded from the definition of “swap,” as defined in section 1a(47) of the Commodity Exchange Act, pursuant to section 1a(47)(B)(ii) of the Commodity Exchange Act and related Commodity Futures Trading Commission and/or Securities and Exchange Commission regulations; and/or
b. Transacted in the spot (cash) market (i.e., shipment or delivery is not deferred).
A non-U.S. entity which is engaged in an “Investment-Related” (e.g., pertaining to securities, commodities, banking, insurance or real estate) business and which is regulated by a Foreign Financial Regulatory Authority (e.g., a foreign securities authority; other governmental body or foreign equivalent of a self-regulatory organization empowered by a foreign government to administer or enforce its laws relating to the regulation of Investment-Related activities).
A non-U.S. entity acting in the capacity of a futures commission merchant, introducing broker, commodity pool operator, commodity trading advisor, floor broker or floor trader which is engaged in a “Derivatives-Related” (e.g., pertaining to commodities for future delivery, security futures products, swaps, commodity options, options on futures or swaps, etc.) business and which is regulated by a “Foreign Derivatives Regulatory Authority” (e.g., a foreign securities authority; other governmental body or foreign equivalent of a self-regulatory organization empowered by a foreign government to administer or enforce its laws relating to the regulation of Derivatives-Related activities.
