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CFTC RIN: 3038-AD06 Publication ID: Fall 2010 
Title: ●Further Definitions of Terms Relating to Swaps and Security-Based Swaps 
Abstract: Title VII of the Dodd-Frank Act requires that the CFTC and the SEC, in consultation with the Board of Governors of the Federal Reserve System, jointly: 1) Further define certain key terms (specifically, “swap,” “security-based swap,” “swap dealer,” “security-based swap dealer,” “major swap participant,” “major security-based swap participant,” “eligible contract participant,” and “security-based swap agreement”); and 2) prescribe regulations regarding “mixed swaps,” as that term is used in title VII of the Dodd-Frank Act. 
Agency: Commodity Futures Trading Commission(CFTC)  Priority: Other Significant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
EO 13771 Designation: uncollected 
CFR Citation: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: PL 111-203, sec 712, Dodd-Frank Wall Street Reform and Consumer Protection Act   
Legal Deadline:
Action Source Description Date
Final  Statutory  Statutory timeframe for mandatory rulemakings where no other deadline is specified   07/15/2011 
Timetable:
Action Date FR Cite
ANPRM  08/13/2010  75 FR 51429   
ANPRM Comment Period End  09/20/2010    
NPRM  12/00/2010    
NPRM Comment Period End  01/00/2011    
Final Action  07/00/2011    
Final Action Effective  10/00/2011    
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Small Entities Affected: No  Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Related Agencies: Joint: SEC; 
Agency Contact:
Julian E. Hammar
Assistant General Counsel, Office of General Counsel
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW.,
Washington, DC 20581
Phone:202 418-5118
Fax:202 418-5524
Email: jhammar@cftc.gov

Mark Fajfar
Assistant General Counsel, Office of General Counsel
Commodity Futures Trading Commission
1155 21st Street NW.,
Washington, DC 20581
Phone:202 418-6636
Email: mfajfar@cftc.gov