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 2012_register executive 2012-08-11 article Part II Rules and Regulations D09002ee1c7fc9a47 D09002ee1c7fc9b20 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(a)(8), section 712(d)(1), sections 712(d)(2)(B) and (C), sections 721(b) and (c), and section 761(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act"), the Commodity Futures Trading Commission ("CFTC") and the Securities and Exchange Commission ("SEC") (collectively, "Commissions"), in consultation with the Board of Governors of the Federal Reserve System ("Board"), are jointly adopting new rules and interpretations under the Commodity Exchange Act ("CEA") and the Securities Exchange Act of 1934 ("Exchange Act") to further define the terms "swap," "security-based swap," and "security-based swap agreement" (collectively, "Product Definitions"); regarding "mixed swaps;" and governing books and records with respect to "security-based swap agreements." The CFTC requests comment on its interpretation concerning forwards with embedded volumetric optionality, contained in Section II.B.2.(b)(ii) of this release. 77 FR 48208 https://www.govinfo.gov/app/details/FR-2012-08-13/2012-18003 2012-18003 fr13au12-13 RIN 3038-AD46 RIN 3235-AK65 8011-01- 6351-01-P Release No. 33-9338 34-67453 File No. S7-16-11 https://www.govinfo.gov/app/details/FR-2012-08-13/2012-18003 https://www.govinfo.gov/content/pkg/FR-2012-08-13/html/2012-18003.htm https://www.govinfo.gov/content/pkg/FR-2012-08-13/pdf/2012-18003.pdf Definitions General Swap Provisions Reporting and Recordkeeping Requirements Securities 159 p. 48208 48366 77 FR 48208 Title 17 Part 1 17 CFR Part 1 Title 17 Part 230 17 CFR Part 230 Title 17 Part 240 17 CFR Part 240 Title 17 Part 241 17 CFR Part 241 RIN 3038-AD46 RIN 3235-AK65 Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping; Federal Register Vol. 77, Issue RULE 2012-18003 II COMMODITY FUTURES TRADING COMMISSION SECURITIES AND EXCHANGE COMMISSION 2012-10-12 Release No. 33-9338 34-67453 File No. S7-16-11 8011-01- 6351-01-P 2012-18003 Joint final rule; interpretations; request for comment on an interpretation.

In accordance with section 712(a)(8), section 712(d)(1), sections 712(d)(2)(B) and (C), sections 721(b) and (c), and section 761(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act"), the Commodity Futures Trading Commission ("CFTC") and the Securities and Exchange Commission ("SEC") (collectively, "Commissions"), in consultation with the Board of Governors of the Federal Reserve System ("Board"), are jointly adopting new rules and interpretations under the Commodity Exchange Act ("CEA") and the Securities Exchange Act of 1934 ("Exchange Act") to further define the terms "swap," "security-based swap," and "security-based swap agreement" (collectively, "Product Definitions"); regarding "mixed swaps;" and governing books and records with respect to "security-based swap agreements." The CFTC requests comment on its interpretation concerning forwards with embedded volumetric optionality, contained in Section II.B.2.(b)(ii) of this release.

Effective date: October 12, 2012. CFTC: Julian E. Hammar, Assistant General Counsel, at 202-418-5118, jhammar@cftc.gov, Lee Ann Duffy, Assistant General Counsel, at 202-418-6763, lduffy@cftc.gov; Mark Fajfar, Assistant General Counsel, at 202-418-6636, mfajfar@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: Donna M. Chambers, Special Counsel, at 202-551-5870, or John Guidroz, Attorney- Adviser, at 202-551-5870, Division of Trading and Markets, or Andrew Schoeffler, Special Counsel, at 202-551-3860, Office of Capital Markets Trends, Division of Corporation Finance, or Wenchi Hu, Senior Special Counsel, at 202-551-5870, Office of Compliance, Inspections and Examinations, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549. 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Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2012-08-13 P0b002ee1833c8a61 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr13au12 https://www.govinfo.gov/app/details/FR-2012-08-13 https://www.govinfo.gov/content/pkg/FR-2012-08-13/pdf/FR-2012-08-13.pdf https://www.govinfo.gov/content/pkg/FR-2012-08-13/xml/FR-2012-08-13.xml fdlp 48045 48418 DGPO 2012-08-11 2024-06-03 FR-2012-08-13 machine generated eng FR FR-2012-08-13 77 156