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Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping 

---
identifier: "/us/fr/2011-13976"
source: "fr"
legal_status: "authoritative_unofficial"
title: "Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping"
title_number: 0
title_name: "Federal Register"
section_number: "2011-13976"
section_name: "Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping"
positive_law: false
currency: "2011-06-07"
last_updated: "2011-06-07"
format_version: "1.1.0"
generator: "[email protected]"
agency: "Commodity Futures Trading Commission"
document_number: "2011-13976"
document_type: "proposed_rule"
publication_date: "2011-06-07"
agencies:
  - "Commodity Futures Trading Commission"
  - "Securities and Exchange Commission"
cfr_references:
  - "17 CFR Part 1"
  - "17 CFR Part 240"
rin: "3038-AD46"
fr_citation: "76 FR 32880"
fr_volume: 76
docket_ids:
  - "Release No. 33-9204A"
  - "34-64372A"
  - "File No. S7-16-11"
fr_action: "Joint proposed rules; proposed interpretations; correction."
---

#  Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping

**AGENCY:**

Commodity Futures Trading Commission; Securities and Exchange Commission.

**ACTION:**

Joint proposed rules; proposed interpretations; correction.

**SUMMARY:**

The Commodity Futures Trading Commission and the Securities and Exchange Commission published a document in the *Federal Register* of May 23, 2011 that referenced an incorrect RIN and an incorrect cite in an authority citation. This correction is being published to correct both the RIN and the authority citation.

**FOR FURTHER INFORMATION CONTACT:**

CFTC: Julian E. Hammar, Assistant General Counsel, at 202-418-5118, *[email protected],* Mark Fajfar, Assistant General Counsel, at 202-418- 6636, *[email protected],* or David E. Aron, Counsel, at 202-418-6621, *[email protected],* Office of General Counsel, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581; SEC: Matthew A. Daigler, Senior Special Counsel, at 202-551-5578, Cristie L. March, Attorney-Adviser, at 202-551-5574, or Leah M. Drennan, Attorney-Adviser, at 202-551-5507, Division of Trading and Markets, or Michael J. Reedich, Special Counsel, or Tamara Brightwell, Senior Special Counsel to the Director, at 202-551- 3500, Division of Corporation Finance, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-7010.

**Correction**

In the *Federal Register* of May 23, 2011, in FR Doc. 2011-11008, on page 29818, in the 10th line of the first column, the Security and Exchange Commission's RIN is corrected to read as noted above.

In the *Federal Register* of May 23, 2011, in FR Doc. 2011-11008, on page 29888, the authority citation in the second column reads as follows:

**Authority:**

7 U.S.C. 1a, 2, 5, 6, 6a, 6b, 6c, 6d, 6e, 6f, 6g, 6h, 6i, 6j, 6k, 6l, 6m, 6n, 6o, 6p, 6r, 7, 7a, 7b, 8, 9, 10, 12, 12a, 12c, 13a, 13a-1, 16, 16a, 21, 23, and 24.

Commodity Futures Trading Commission.

David A. Stawick,

Secretary. Securities and Exchange Commission.

Dated: June 1, 2011.

Elizabeth M. Murphy,

Secretary.