Securities Law Prof Blog

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

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Thursday, July 21, 2011

SEC & CFTC Announce Roundtable on International Issues Relating to D-F Title VII

The staffs of the SEC and the CFTC will hold a joint public roundtable on August 1 to discuss international issues related to the implementation of Title VII of the Dodd-Frank Act. They released an agenda and stated that panelists will be announced at a later date.  They are also soliciting public comments.

Session I – Cross-Border Transactions

Application of requirements to foreign and domestic entities
Reporting requirements
Mandatory clearing and trading requirements 

Session II – Global Entities

Registration as a swap or security-based swap dealer or major swap or security-based swap participant.
Substantive requirements.
Regulation of transactions versus regulation of entities.
Effect of international regulatory differences on global entities.

Session III – Market Infrastructure

Registration of clearing agencies, trade data repositories, execution facilities and exchanges.
Substantive requirements.
Effect of international regulatory differences on market infrastructure.
 

http://lawprofessors.typepad.com/securities/2011/07/sec-cftc-announce-roundtable-on-international-issues-relating-to-d-f-title-vii.html

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