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Securities and Derivatives Enforcement and Regulatory / Derivatives Update

CFTC Proposes to Overhaul its SEF Rules and Adopts a Permanent Threshold for the Swap Dealer De Minimis Exception

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At an open meeting of the Commodity Futures Trading Commission (CFTC) on November 5, 2018, the CFTC Commissioners voted to approve (i) a final rule amending the de minimis exception to the “swap dealer” definition and (ii) a rule proposal that would amend the CFTC’s regulatory framework for swap execution facilities (SEFs) and the on-facility trade execution requirement, along with a request for comment on the practice of “post-trade name give-up” on certain SEFs. The SEF rule proposal would, in a number of important respects, represent an overhaul of the CFTC’s existing approach to SEF regulation.

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