The U.S. Commodity Futures Trading Commission (the “CFTC”) and U.S. Securities Exchange Commission (the “SEC” and, together with the CFTC, the “Commissions”) recently jointly adopted final rules regarding the criteria for a person to be considered a “Swap Dealer” or “Security-Based Swap Dealer” under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”).1
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CFTC and SEC adopt new rules further defining “swap dealer” and “security-based swap dealer”
- Simpson Thacher & Bartlett LLP
- May 2 2012
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