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U.S. Securities and Exchange Commission

SEC, CFTC Staffs to Host Roundtable to Discuss International Issues Relating to Dodd-Frank Act Title VII Implementation


Washington, D.C., July 21, 2011 – The staffs of the Securities and Exchange Commission and the Commodity Futures Trading Commission (CFTC) will hold a joint public roundtable on August 1 from 9 a.m. to 4 p.m. to discuss international issues related to the implementation of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Panelists will be announced at a later date.

The roundtable will be held in the Conference Center at the CFTC’s Headquarters, Three Lafayette Centre, 1155 21st Street NW, Washington, D.C. The discussion will be open to the public with seating on a first-come, first-served basis.

Members of the public also may listen by telephone and should be prepared to provide their first name, last name and affiliation.

Listening information:

U.S. toll free: (866) 844-9416

International toll: (203) 369-5026

Passcode: 4316057

A transcript of the public roundtable discussion will be published on the CFTC’s website at http://www.cftc.gov/PressRoom/Events/2011/index.htm and on the SEC’s website at http://www.sec.gov/news/press/2011/2011-151.htm.

Members of the public wishing to submit their views on the topics addressed at the roundtable may do so by:

  • CFTC: through the CFTC’s Comments Online application.
  • SEC: by e-mail to rule-comments@sec.gov (all e-mails must reference file number 4-636 in the subject field) or through the comment form.

All submissions provided to the CFTC or SEC in any form may be published on the website of the respective agency, without review and without removal of personal identifying information.

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Agenda for the Public Roundtable Discussion:

9 a.m. - 9:30 a.m.
Introduction and Opening Remarks by CFTC and SEC Staff

9:30 a.m.-11 a.m.
Session I – Cross-Border Transactions

  • Application of requirements to foreign and domestic entities
  • Reporting requirements
  • Mandatory clearing and trading requirements

11 a.m.-11:15 a.m.

11:15 a.m.-1 p.m.
Session II – Global Entities

  • Registration as a swap or security-based swap dealer or major swap or security-based swap participant.
  • Substantive requirements.
  • Regulation of transactions versus regulation of entities.
  • Effect of international regulatory differences on global entities.

1 p.m.-2:15 p.m.
Lunchtime Break

2:15 p.m.-4 p.m.
Session III – Market Infrastructure

  • Registration of clearing agencies, trade data repositories, execution facilities and exchanges.
  • Substantive requirements.
  • Effect of international regulatory differences on market infrastructure.



Modified: 07/21/2011