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Joint SEC-CFTC Roundtable on Dodd-Frank Implementation, May 2-3

The SEC and CFTC have announced that the agencies will hold a two-day joint public roundtable on May 2-3, 2011, to discuss the schedule for implementing final rules for swaps and security-based swaps under the Dodd-Frank Wall Street Reform and Consumer Protection Act.  According to the announcement:

The roundtable will provide the public with the opportunity to comment on whether to phase implementation of the new requirements based on factors such as: the type of swap or security-based swap, including by asset class; the type of market participants that engage in such trades; the speed with which market infrastructures can meet the new requirements; and whether registered market infrastructures or participants might be required to have policies and procedures in place ahead of compliance with such policies and procedures by non-registrants.


Though the agenda has not yet been released, the roundtable is expected to include panel discussions of:

(1) compliance dates for new rules for existing trading platforms and clearinghouses and the registration and compliance with rules for new platforms, such as swap and security-based swap execution facilities, and data repositories for swaps and security-based swaps;

(2) compliance dates for new requirements for dealers and major participants in swaps and security-based swaps;

(3) implementation of clearing mandates;

(4) compliance dates for financial entities such as hedge funds, asset managers, insurance companies and pension funds subject to a clearing mandate and other requirements; and

(5) considerations with regard to non-financial end users.

The roundtable will be held from 9:30 am to 4:00 pm each day in the Conference Center at the CFTC's Headquarters, Three Lafayette Centre, 1155 21st Street, NW, Washington, DC. The discussion will be open to the public with seating on a first-come, first-served basis. Members of the public also may dial in via telephone to listen to the proceedings. 

The agencies are accepting comments on the roundtable prior to the event.  Comments may be submitted via:


CFTC: Visit and submit comments through the CFTC's website.

SEC: By email to This email address is being protected from spambots. You need JavaScript enabled to view it. (all emails must reference the file number 4-625 in the subject field) or through the comment form.

The full text of the SEC and CFTC's joint announcement is available at: