CFTC and SEC Publish Joint Advance Notice of Proposed Rulemaking on Swaps Regulation


The Commodity Futures Trading Commission and the Securities and Exchange Commission have issued a joint advance notice of proposed rulemaking (the Joint Notice) seeking public comment regarding the agencies’ mandate to regulate swaps and security-based swaps under the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Joint Notice requests public comments on the CFTC’s and SEC’s joint regulation of “mixed swaps” and the adoption of regulations further defining the following terms: (1) “swap”; (2) “security-based swap”; (3) “swap dealer”; (4) “security-based swap dealer”; (5) “major swap participant”; (6) “major security-based swap participant”; (7) “eligible contract participant”; and (8) “security-based swap agreement”. The comment period for the Joint Notice expires on September 20.

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