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

ALI-ABA Webcast/Teleseminar

08/24/2012 10:30 a.m. - 12:00 p.m. EDT

Capital Markets, Banking + Financial Services, Investment Management, Financial Institutions + Financial Services, and Derivatives + Commodities

Anna T. Pinedo

Anna T. Pinedo

Webinar

Joseph Marano
jmarano@mofo.com
(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.

Speakers:

  • 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.

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