Market regulation · 23/05/2011

CFTC and SEC Jointly Issue Proposed Rules for Swap Definitions and Security-Based Swap Agreement Recordkeeping

The Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) are jointly proposing new rules to clarify the definitions of swaps, security-based swaps, and security-based swap agreements, as well as recordkeeping requirements for mixed swaps and security-based swap agreements, in accordance with the Dodd-Frank Act.