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Joint Rulemakings

   

Joint Final Rule: Further Definition of ‘‘Swap,’’ ‘‘Security-Based Swap,’’ and ‘‘Security-Based Swap Agreement’’; Mixed Swaps; Security-Based Swap Agreement Recordkeeping

Joint Final Rule: Further Definition of ‘‘Swap,’’ ‘‘Security-Based Swap,’’ and ‘‘Security-Based Swap Agreement’’; Mixed Swaps; Security-Based Swap Agreement Recordkeeping

RINs: 3038–AD46, 3235-AK65

Agency/Agencies: CFTC, SEC

Federal Register Publication Date: 08/13/2012

Summary: In accordance with section 712(a)(8), section 712(d)(1), sections 712(d)(2)(B) and (C), sections 721(b) and (c), and section 761(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the CFTC and the SEC, in consultation with the Board of Governors of the Federal Reserve System,  jointly adopted new rules and interpretations under the Commodity Exchange Act and the Securities Exchange Act of 1934 to further define the terms ‘‘swap,’’ ‘‘security-based swap,’’ and ‘‘security-based swap agreement’’; regarding ‘‘mixed swaps;’’ and governing books and records with respect to ‘‘security-based swap agreements.’’

Ianthe Zabel
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