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SEC Issues Derivatives Rule Implementation Policy Statement  


Author:  Staff of the Journal of Taxation and Regulation of Financial Institutions.


Source: Volume 25, Number 06, July/August 2012 , pp.54-64(11)




Journal of Taxation and Regulation of Financial Institutions

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Abstract: 

In the two years since passage of the Dodd-Frank Act, the overwhelming majority of new regulations mandated by Title VII have yet to be finalized. This update summarizes the current state of OTC derivatives regulation and sets out the order in which the final rules are likely to be implemented, based upon a statement of general policy issued by the Securities and Exchange Commission on June 11, 2012.

Keywords: Dodd-Frank Act Title VII; OTC derivatives; swaps; security-based swaps; mixed swaps; security-based swap agreements; clearing requirement; trading requirement; registration and oversight; public disclosure and reporting; SEC; CFTC

Affiliations:  .

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