Regulatory Alerts2026-06-24 | 2026-12743Joint Request for Comment on Further Definition of “Swap” and “Security-Based Swap” and on Alternative Compliance
The Commodity Futures Trading Commission and Securities and Exchange Commission jointly request public comment on clarifying regulatory boundaries for innovative financial products that may implicate both agencies' jurisdictions under Title VII of the Dodd-Frank Act. The agencies seek principled, objective criteria to distinguish between swaps, security-based swaps, and mixed swaps, particularly regarding event contracts and statutory exclusions. Additionally, the notice invites feedback on alternative compliance approaches to reduce regulatory gaps and support lawful innovation, with comments due by August 24, 2026.
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