United States Government Publishing Office publisher pbl distributor dst United States National Archives and Records Administration Office of the Federal Register author aut Government Organization text government publication eng FR Regulatory Information 2010_register executive 2010-12-21 article Part III Proposed Rules D09002ee1c8008b4a D09002ee1c8008c16 United States Commodity Futures Trading Commission originator org United States Government Agency or Subagency United States Securities and Exchange Commission originator org United States Government Agency or Subagency In accordance with Section 712(d)(1) of Title VII of the Dodd- Frank Wall Street Reform and Consumer Protection Act of 2010 ("Dodd- Frank Act"), the Commodity Futures Trading Commission ("CFTC") and the Securities and Exchange Commission ("SEC") (collectively, the "Commissions"), in consultation with the Board of Governors of the Federal Reserve System, are proposing rules and interpretative guidance under the Commodity Exchange Act ("CEA"), 7 U.S.C. 1 et seq., and the Securities Exchange Act of 1934 ("Exchange Act"), 15 U.S.C. 78a et seq., to further define the terms "swap dealer," "security-based swap dealer," "major swap participant," "major security-based swap participant," and "eligible contract participant." 75 FR 80174 https://www.govinfo.gov/app/details/FR-2010-12-21/2010-31130 2010-31130 fr21de10-19 RIN 3038-AD06 RIN 3235-AK65 6351-01-P; 8011-01-P Release No. 34-63452 File No. S7-39-10 https://www.govinfo.gov/app/details/FR-2010-12-21/2010-31130 https://www.govinfo.gov/content/pkg/FR-2010-12-21/html/2010-31130.htm https://www.govinfo.gov/content/pkg/FR-2010-12-21/pdf/2010-31130.pdf Definitions Reporting and Recordkeeping Requirements Securities 45 p. 80174 80218 75 FR 80174 Title 17 Part 1 17 CFR Part 1 Title 17 Part 240 17 CFR Part 240 RIN 3038-AD06 RIN 3235-AK65 Further Definition of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant,” “Major Security-Based Swap Participant” and “Eligible Contract Participant”; Federal Register Vol. 75, Issue PRORULE 2010-31130 III COMMODITY FUTURES TRADING COMMISSION SECURITIES AND EXCHANGE COMMISSION 2011-02-22 Release No. 34-63452 File No. S7-39-10 6351-01-P; 8011-01-P 2010-31130 Joint proposed rule; proposed interpretations.

In accordance with Section 712(d)(1) of Title VII of the Dodd- Frank Wall Street Reform and Consumer Protection Act of 2010 ("Dodd- Frank Act"), the Commodity Futures Trading Commission ("CFTC") and the Securities and Exchange Commission ("SEC") (collectively, the "Commissions"), in consultation with the Board of Governors of the Federal Reserve System, are proposing rules and interpretative guidance under the Commodity Exchange Act ("CEA"), 7 U.S.C. 1 et seq., and the Securities Exchange Act of 1934 ("Exchange Act"), 15 U.S.C. 78a et seq., to further define the terms "swap dealer," "security-based swap dealer," "major swap participant," "major security-based swap participant," and "eligible contract participant."

Submit comments on or before February 22, 2011. CFTC: Mark Fajfar, Assistant General Counsel, at 202-418-6636, mfajfar@cftc.gov, Julian E. Hammar, Assistant General Counsel, at 202-418-5118, jhammar@cftc.gov, or David E. Aron, Counsel, at 202-418-6621, daron@cftc.gov, Office of General Counsel, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581; SEC: Joshua Kans, Senior Special Counsel, Jeffrey Dinwoodie, Attorney Advisor, or Richard Grant, Attorney Advisor, at 202-551-5550, Division of Trading and Markets, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-7010. Definitions Reporting and Recordkeeping Requirements Securities Further Definition of Swap Dealer, Security-Based Swap Dealer, Major Swap Participant, etc. , daron@cftc.gov jhammar@cftc.gov mfajfar@cftc.gov rule-comments@sec.gov http://comments.cftc.gov http://www.cftc.gov http://www.cftc.gov/LawRegulation/DoddFrankAct/OTC_2_Definitions.html http://www.financialstability.gov/docs/regs/FinalReprot_web.pdf http://www.payscale.com http://www.regulations.gov http://www.sec.gov/rules/proposed.shtml http://www.sec.gov/spotlight/regreformcomments.shtml/ Vol. 75, no. 244 Office of the Federal Register, National Archives and Records Administration 2010-12-21 continuing daily deposited born digital 351 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2010-12-21 P0b002ee180b8e9e0 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr21de10 https://www.govinfo.gov/app/details/FR-2010-12-21 https://www.govinfo.gov/content/pkg/FR-2010-12-21/pdf/FR-2010-12-21.pdf https://www.govinfo.gov/content/pkg/FR-2010-12-21/xml/FR-2010-12-21.xml fdlp 79947 80286 DGPO 2010-12-21 2024-06-04 FR-2010-12-21 machine generated eng FR FR-2010-12-21 75 244