Final Rule – Further Definition of “Swap”

The U.S. Commodity Futures Trading Commission and Securities Exchange Commission are jointly adopting the following rule 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’’:

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

View more rules on the CFTC’s website.

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