The SEC's Extension of Exemptions for Security-Based Swaps

PLI Webcast

05/01/2013 01:00 p.m. - 02:00 p.m. EDT

Banking + Financial Services, Corporate Finance | Capital Markets, Financial Institutions + Financial Services, and Derivatives + Commodities

James Schwartz

James Schwartz


Joe Marano
(212) 336-4316

For presentation materials, click here.

Among its many important changes to the legal landscape, The Dodd-Frank Act defined the term “security” to include security-based swaps. The SEC has taken a deliberative approach in relation to the effects of this change, and recently extended until February, 2014 the expiration date of certain temporary exemptions and interim final rules that the SEC previously promulgated in relation to the regulation of security-based swaps as securities.

Please join Robert J. Dilworth of Bank of America Merrill Lynch and James Schwartz of Morrison & Foerster LLP as they address topics including the following:

  • The exemptions and interim final rules for which the SEC extended the expiration date;
  • The underlying issues, arising under the Securities Act of 1933, the Securities Exchange Act of 1934 and the Trust Indenture Act of 1939, that the exemptions and final rules address; and
  • Industry commentary on these issues.

PLI will provide CLE credit.

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