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SEC Interpretive Releases

The Commission occasionally provides guidance on topics of general interest to the business and investment communities by issuing "interpretive" releases, in which we publish our views and interpret the federal securities laws and SEC regulations. Below are brief descriptions of and links to recent "interpretive" releases.

Additional Archives

Release No. Date Details
33-9681 Nov. 13, 2014 Forward Contracts with Embedded Volumetric Optionality
Other Release No.: 34-73584
File No.: S7-16-11
See also:  Proposed Rule Release No. 33-9204 and Correction Release No. 33-9204A
Comments received are available for this proposal.
Federal Register (79 FR 69073): HTML | PDF | text | XML
34-72472 Jun. 25, 2014 Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities
File No.: S7-02-13
Effective Date:  September 8, 2014
See also:  Proposed Rule Release No. 34-69490
Federal Register (79 FR 47277): HTML | PDF | text | XML

Modified: 01/23/2015