Further Product Definitions

Further Definition of "Swap," "Security-Based Swap," "Security Based Swap Agreement," and Mixed Swaps.

The Commission has issued proposed rules to implement the Dodd-Frank Wall Street Reform and Consumer Protection Act, and is seeking input on these rules from the public.

A list of proposed rules for this topic, along with other related Federal Register notices, is provided below. Members of the public are encouraged to review proposed rules, and offer comment by clicking the associated "Comment File" link.

How to submit a comment

Additional information regarding Joint Rules with SEC, such as "Swap," "Security-Based Swap," "Security-Based Agreement," and Mixed Swaps including factsheets for each proposed rule, and details of meetings held between CFTC staff and outside parties.

Related Federal Register Releases

Final Rule: 77 FR 48207 // PDF Version
8/13/2012
Commodity Futures Trading Commission 17 CFR Part 1 Securities and Exchange Commission 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
Effective Date: Friday, October 12, 2012

Proposed Rule: 76 FR 29818 // PDF Version
5/23/2011
Commodity Futures Trading Commission 17 CFR Part 1 Securities and Exchange Commission 17 CFR Part 240 Further Definition of "Swap,'' "Security-Based Swap,'' and "Security-Based Swap Agreement''; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
Comment File - Closing Date: 7/22/2011

----See Also----
     76 FR 32880 // PDF Version
     6/7/2011
     Correction: Commodity Futures Trading Commission 17 CFR Part 1 Securities and Exchange Commission 17 CFR Part 240 Further Definition of "Swap,'' "Security-Based Swap,'' and "Security-Based Swap Agreement''; Mixed Swaps; Security-Based Swap Agreement Recordkeeping

Advance Notice of Proposed Rulemaking: 75 FR 51429 // PDF Version
8/20/2010
Commodity Futures Trading Commission 17 CFR Part 1 Securities and Exchange Commission 17 CFR Part 240 Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act
Comment File – Closing Date: 9/20/2010

Additional Information

Fact Sheet: Final Rules and Interpretations i) Further Defining “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; ii) Regarding “Mixed Swaps”; and iii) Governing Books and Records for “Security-Based Swap Agreements”
Questions and Answers: Final Rules and Interpretations i) Further Defining “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; ii) Regarding “Mixed Swaps”; and iii) Governing Books and Records for “Security-Based Swap Agreements

Fact Sheet: Proposed Rules and Interpretive Guidance on Product Definitions
Q&A: Proposed Rules and Interpretive Guidance on Product Definitions

Event: Open Meeting on Fourteenth Series of Proposed Rules under the Dodd-Frank Act

Date
SUBMISSION
10/18/2012
boc excerpt_1937 PDF Image
From External Meeting on 10/18/2012
10/18/2012
wspp_1937 PDF Image
From External Meeting on 10/18/2012
03/09/2012
EIB DFA Presentation_1675 PDF Image
From External Meeting on 3/9/2012
12/01/2011
SBS Followup_1169 PDF Image
From External Meeting on 12/1/2011
10/05/2011
NRU CFC Comments_1084 PDF Image
From External Meeting on 10/5/2011
07/18/2011
EBRD Letter PDF Image
EBRD, From External Meeting on 7/18/2011
06/22/2011
BG Group Meeting with CFTC Staff PDF Image
BG Group, From External Meeting on 6/22/2011
02/17/2011
Syndicated Loan Market_535 PDF Image
Loan Syndications and Trading Association, From External Meeting on 2/17/2011
11/29/2010
11/09/2010
681 Uniform 2010 Schedule DB, Part A, B and D PDF Image
National Association of Insurance Commissioners
11/09/2010
Instruct Life PDF Image
National Association of Insurance Commissioners
11/09/2010
Annual 2010 Investments Pages PDF Image
National Association of Insurance Commissioners
11/09/2010
Forecast Life Charts PDF Image
National Association of Insurance Commissioners
11/09/2010
Statement of Statutory Accounting Principles No. 60 PDF Image
National Association of Insurance Commissioners
11/09/2010
617 Uniform 2010 Schedule DB, Verification and Part C PDF Image
National Association of Insurance Commissioners
11/09/2010
Statement of Statutory Accounting Principles No. 86 PDF Image
National Association of Insurance Commissioners
11/09/2010
Annual 2010 Summary Investments Pages PDF Image
National Association of Insurance Commissioners
11/09/2010
Following-up to September 29, 2010, Meeting with SEC and CFTC Staff PDF Image
National Association of Insurance Commissioners
11/08/2010
11/08/2010
ACLI Statement for Nov 8 2010 CFTC Visit (3)_293 PDF Image
ACLI, From External Meeting on 11/8/2010
10/22/2010
10/08/2010
October 8 CLS Meeting_160 PDF Image
CLS Group, From External Meeting on 10/8/2010
09/23/2010
09/01/2010
dmb argus_72 PDF Image
Argus Oil Market Regulation Summit 2010
08/03/2010
Title VII Rulemakings PDF Image
SEC/CFTC and ISDA/SIFMA