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CFTC and SEC Release Joint Final Rule on Key Entity Definitions in Title VII of the Dodd-Frank Act
8 June 2012
The final rules for the definitions of "swap dealer," "major swap participant," "security-based swap dealer," and "major security-based swap participant," as adopted by the CFTC and the SEC, were published in the Federal Register on May 23, 2012.
These definitions are crucial to the implementation of the new swap regulatory framework mandated by the Dodd-Frank Act as swap parties who are covered by those definitions will be required to register with CFTC or the SEC and will be subject to numerous new regulatory requirements.
These final rules will become effective on July 23, 2012.
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