Securities and Exchange Commission December 21, 2010 – Federal Register Recent Federal Regulation Documents
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End-User Exception to Mandatory Clearing of Security-Based Swaps
In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (``Dodd-Frank Act''), the Securities and Exchange Commission (``Commission'') is proposing new Rule 3Cg-1 under the Securities Exchange Act of 1934 (``Exchange Act'') governing the exception to mandatory clearing of security-based swaps available for counterparties meeting certain conditions. The Commission is requesting comments on the proposed rule and related matters.
Further Definition of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant,” “Major Security-Based Swap Participant” and “Eligible Contract Participant”
In accordance with Section 712(d)(1) of Title VII of the Dodd- Frank Wall Street Reform and Consumer Protection Act of 2010 (``Dodd- Frank Act''), the Commodity Futures Trading Commission (``CFTC'') and the Securities and Exchange Commission (``SEC'') (collectively, the ``Commissions''), in consultation with the Board of Governors of the Federal Reserve System, are proposing rules and interpretative guidance under the Commodity Exchange Act (``CEA''), 7 U.S.C. 1 et seq., and the Securities Exchange Act of 1934 (``Exchange Act''), 15 U.S.C. 78a et seq., to further define the terms ``swap dealer,'' ``security-based swap dealer,'' ``major swap participant,'' ``major security-based swap participant,'' and ``eligible contract participant.''
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