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