Securities Law Prof Blog

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

Wednesday, April 27, 2011

SEC & CFTC Propose More Rules on Swaps

The SEC today voted unanimously to propose rules further defining the terms “swap,” “security-based swap,” and “security-based swap agreement.”  It also proposed rules regarding “mixed swaps” and books and records for “security-based swap agreements.”  The rules were proposed jointly with the Commodity Futures Trading Commission (CFTC) and stem from the Dodd-Frank Act.

Public comments on the rule proposal should be received within 60 days after it is published in the Federal Register.

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