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Final Rule: Core Principles and Other Requirements for Swap Execution Facilities

Final Rule: Core Principles and Other Requirements for Swap Execution Facilities

RIN: 3038–AD18

Agency/Agencies: CFTC

Federal Register Publication Date: 06/04/2013

Correction: 08/05/2013

Summary: The CFTC adopted new rules, guidance, and acceptable practices to implement certain statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (‘‘Dodd-Frank Act’’). The final rules, guidance, and acceptable practices, which apply to the registration and operation of a new type of regulated entity named a swap execution facility (‘‘SEF’’), implement the Dodd-Frank Act’s new statutory framework that, among other requirements, add a new section 5h to the Commodity Exchange Act (‘‘CEA’’) concerning the registration and operation of SEFs, and add a new Section 2(h)(8) to the CEA concerning the execution of swaps on SEFs.

Ianthe Zabel
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