federal_register: 06-3188

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document_number title type abstract publication_date pub_year pub_month html_url pdf_url agency_names agency_ids excerpts regulation_id_numbers
06-3188 Joint Proposed Rules: Application of the Definition of Narrow-Based Security Index to Debt Securities Indexes and Security Futures on Debt Securities Proposed Rule The Commodity Futures Trading Commission ("CFTC") and the Securities and Exchange Commission ("SEC") (together, the "Commissions") are proposing to adopt a new rule and to amend an existing rule under the Commodity Exchange Act ("CEA") and to adopt two new rules under the Securities Exchange Act of 1934 ("Exchange Act"). These proposed rules and rule amendments would exclude from the definition of "narrow-based security index" debt securities indexes that satisfy specified criteria. A future on a debt securities index that is excluded from the definition of "narrow-based security index" would not be a security future and could trade subject to the exclusive jurisdiction of the CFTC. In addition, the proposed rules would expand the statutory listing standards requirements to permit security futures to be based on debt securities, including narrow-based security indexes composed of debt securities. 2006-04-10 2006 4 https://www.federalregister.gov/documents/2006/04/10/06-3188/joint-proposed-rules-application-of-the-definition-of-narrow-based-security-index-to-debt-securities https://www.govinfo.gov/content/pkg/FR-2006-04-10/pdf/06-3188.pdf Commodity Futures Trading Commission; Securities and Exchange Commission 77,466 The Commodity Futures Trading Commission ("CFTC") and the Securities and Exchange Commission ("SEC") (together, the "Commissions") are proposing to adopt a new rule and to amend an existing rule under the Commodity Exchange Act ("CEA") and to adopt two...  

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