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SEC Release 34-63825 Date February 2, 2011 The SEC proposed Regulation SB SEF under the Exchange Act to define "security-based swap execution facilities" (SB SEFs) and to establish registration requirements, duties, and core principals applicable to those entities. In addition, the proposal would amend Rule 3a-1 under the Exchange Act to exempt a registered SEF from the definition of "exchange" and would add Rule 15a-12 to exempt registered SEFs from regulation as a broker under § 15(b). Steven Lofchie; [email protected] Jeffrey Robins; [email protected] Cross References SEC Press

76 FR XXXX The CFTC is proposing rules that would establish a process for Designated Contract Markets and Swap Execution Facilities to make a swap "available to trade" as set forth in Section 2(h)(8) of the CEA pursuant to Section 723 of the Dodd-Frank Act. The proposed rules provide that DCMs and SEFs make the determination of when a swap has been made available to trade by considering seven enumerated factors, or any other factor that the DCM or SEF may view as relevant. The rules provide that the DCM or SEF may either certify the determination or seek approval under the Commission's part 40

The CFTC is adopting final rules to implement the Dodd-Frank Act's new statutory framework regarding swap data recordkeeping and reporting requirements for all swap transactions. The rules apply to swap data recordkeeping and reporting requirements for swap data repositories, derivatives clearing org (non-SD/MSP counterparties) (including, without limitation, counterparties entitled to elect the clearing requirement exception pursuant to CEA § 2(h)(7) with respect to particular swaps). The rules being adopted apply to swap data recordkeeping and reporting requirements for swap data

Open Meeting CFTC Press Release 6184-12 View Archived Webcast The CFTC held a public meeting on February 23, 2010 to consider one final rule and one proposed rule on the following topics: (1) Final Rule: Swap Dealer and Major Swap Participant Recordkeeping and Reporting, Duties, and Conflicts of Interest Policies and Procedures; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Swap Dealer, Major Swap Participant, and Futures Commission Merchant Chief Compliance Officer; and (2) Proposed Rule: Procedures to Establish Appropriate Minimum Block

On Thursday the CFTC held a public meeting to consider a final rule on core principles and other requirements for designated contract markets and a proposed order amending the effective date for swap regulation. Statements : Statement on the Proposed Exemptive Order Regarding Certain Dodd-Frank Effective Dates (Commissioner Gary Gensler) Concurrence Statement on the Amendment to the July 17, 2011 Exemptive Order (Commissioner Scott O'Malia) The Draft CFTC 2012 Rulemaking Schedule (Commissioner Scott O'Malia) “Lettuce Produce” (Commissioner Bart Chilton) To view additional materials from this