Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

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Wednesday, October 13, 2010

SEC Proposes Rules to Mitigate Conflicts Involving Security-Based Swaps

The SEC today proposed rules intended to mitigate conflicts of interest for security-based swap clearing agencies, security-based swap execution facilities, and national securities exchanges that post security-based swaps or make them available for trading.  The SEC's proposed rules — known as Proposed Regulation MC — require security-based swap clearing agencies, security-based SEFs and security-based swap exchanges to adopt ownership and voting limitations as well as certain governance requirements.

Public comments on the proposed rules should be received by the Commission no later than 30 days after they are published in the Federal Register.

http://lawprofessors.typepad.com/securities/2010/10/sec-proposes-rules-to-mitigate-conflicts-involving-security-based-swaps.html

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