Event: Roundtable


CFTC and SEC Staff Public Roundtable Discussion on Proposed Dealer and Major Participant Definitions under Dodd-Frank Act

The staffs of the Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) intend to hold a joint public roundtable to discuss proposed definitions required under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).




Thursday, June 16, 2011, 9:00 a.m.


CFTC’s Headquarters, 1155 21st Street NW, Washington, DC


Proposed definitions required under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act.)

Listening Information:


Call-in to a toll-free or toll-telephone line to connect to a live audio feed. Call-in participants should be prepared to provide their first name, last name and affiliation. Conference call information is listed below


Domestic Toll-Free Number: (866) 844-9416
International Toll Numbers:
International Numbers
Participant Passcode/Pin: 7731946

The meeting will be open to the public on a first come, first served basis.

CFTC News Release 6052-11

Federal Register Notice

List of Participants

NOTE: The CFTC and SEC are requesting public comment on the matters of this roundtable:

Submit a Comment
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Additional Information

The Dodd-Frank Act provides that the CFTC and the SEC, in consultation with the Federal Reserve, must work jointly to further define the meaning of certain key terms including “swap dealer,” “security-based swap dealer,” “major swap participant” and “major security-based swap participant.” Title VII also provides for the registration of dealers and major participants, and will subject them to a number of statutory requirements including capital, margin and business conduct requirements.

The discussion will focus on such issues as:

• General parameters of dealer activity

• Application of the dealer definitions among different types of asset classes

• Application of the de minimis exception from the dealer definitions; and

• Adequacy of the proposed major participant tests.

    Last Updated: June 17, 2011