Swap Execution Facilities Regulation - Hearings & Testimony

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Securities and Exchange Commission - Open Meeting Agenda Wednesday, March 2, 2011

Link to SEC webcast of hearing HERE.

Topics covered in the meeting:

  • Item 1:Incentive-Based Compensation Arrangements
  • Item 2:Clearing Agency Standards for Operation and Governance
  • Item 3:Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps Under Regulation MC
  • Item 4:References to Credit Ratings in Certain Investment Company Act Rules and Forms

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