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Rule 9j-1 of the Dodd-Frank Act

Issue

OTC Derivatives→

Summary

SIFMA provides comments to the Securities and Exchange Commission (SEC) on Proposed Rule 9j-1; Release No. 34-63236; File No. S7-32-10.

The SEC’s proposed rule expands the anti-manipulation provisions of Section 9 of the Exchange Act and authorizes the SEC to adopt rules to prevent fraud, manipulation and deception in connection with security-based swaps (SBS). SIFMA expresses concerns the Proposal is overly broad and does not accurately reflect relevant differences between SBS and securities.

PDF

Submitted To

SEC

Submitted By

SIFMA

Related Committee(s)

  • Swap Dealer Committee

Date

8

July

2011

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