Swap Definitions, Mixed Swaps, and Books and Records Requirements: New Joint Rules from the CFTC and the SEC

ALI-ABA Webcast/Teleseminar

24 Aug 2012 10:30 a.m. - 12:00 p.m. EDT

Joseph Marano
(212) 336-4316

To view the presentation materials, click here.

The Dodd-Frank Act was passed to, among other things, create new incentives to execute trades of derivatives on transparent platforms—and to settle transactions through centralized clearing.

Now the CFTC and the SEC, in consultation with the Federal Reserve Board of Governors and in accordance with directives from Dodd-Frank, have just issued joint rules. These rules define "swap" products and offer further guidance regarding "mixed swaps" and governing books and records with respect to "security-based swap agreements."

Get a concise review of new "swap" definitions and other matters in joint rules just issued for comment by the CFTC and the SEC. Learn about the implications of defining a product as a "swap" or as a "security-based swap."

Join outstanding capital markets practitioners Ellen P. Pesch, Sidley Austin LLP, New York City, and Anna T. Pinedo, Morrison & Foerster LLP, New York City, on August 24 from 10:30-12:00 PM EDT for a concise overview of the new joint rules as well as a discussion of the implications of the various definitions for swap participants.


  • Anna T. Pinedo, Morrison & Foerster LLP
  • Ellen P. Pesch, Sidley Austin LLP

ALI-ABA's Fee for the Teleseminar is $199.00.

ALI-ABA's Fee for the Webcast is $199.00.

ALI-ABA will provide CLE credit.




Unsolicited e-mails and information sent to Morrison & Foerster will not be considered confidential, may be disclosed to others pursuant to our Privacy Policy, may not receive a response, and do not create an attorney-client relationship with Morrison & Foerster. If you are not already a client of Morrison & Foerster, do not include any confidential information in this message. Also, please note that our attorneys do not seek to practice law in any jurisdiction in which they are not properly authorized to do so.