SEC and CFTC to Hold Public Meeting on the Definitions of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant,” and “Major Security-Based Swap Participant”

June 9, 2011

The SEC and the CFTC will hold a public roundtable on Thursday, June 16, 2011 at the CFTC's headquarters at Three Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581 to discuss the definitions of “swap dealer,” “security-based swap dealer,” “major swap participant,” and “major security-based swap participant.”  The agencies are holding the roundtable in an effort to elicit input on how it should implement Section 712(d)(1) of the Dodd-Frank Wall Street Reform and Consumer Protect Act.

Click here to access the notice.


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Exchange-Traded Funds (ETFs), Investment Companies, Regulatory