17 CFR Parts 230, 240 and 241
Further Definition of ``Swap,'' ``Security-Based Swap,'' and ``Security-Based Swap Agreement''; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
- SEC Final Rules
As a result of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the CFTC and the SEC are in the process of finalizing rules to regulate the derivatives marketplace. The legislation is intended to reduce risk, increase transparency and promote market integrity within the financial system. Below are the Finalized Rules to date.
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08/13/12 Notice of Final Rulemaking, Effective 10/12/12 - Securities & Exchange Commission
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06/28/12 Notice of Final Rulemaking, Effective 12/10/12 - Securities & Exchange Commission
17 CFR Parts 240 and 249
Process for submissions for Review of SB-Swaps for Madatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations
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17 CFR Part 240
Further Definition of ‘‘Swap Dealer,’’ ‘‘Security-Based Swap Dealer,’’ ‘‘Major Swap Participant,’’ ‘‘Major Security-Based Swap Participant’’ and ‘‘Eligible Contract Participant’’ -
08/25/11 Notice of Final Rulemaking, Effective 9/1/11 - Securities & Exchange Commission
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07/27/11 Notice of Final Rulemaking, Effective 10/3/11 - Securities & Exchange Commission
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06/08/11 Notice of Final Rulemaking, Effective 7/16/11 - Securities & Exchange Commission
17 CFR Part 240
Beneficial Ownership Reporting Requirements and Security-Based Swaps
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05/25/11 Notice of Final Rulemaking, Effective 8/12/11 - Securities & Exchange Commission
17 CFR Part 240 and 249
Securities Whistleblower Incentives and Protections
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01/20/11 Notice of Final Rulemaking, Effective 3/28/11 - Securities & Exchange Commission