US regulators release joint-rule proposal regarding futures contracts on debt indexes and securities
Andrew P. Cross
Purpose – The purpose of this paper is to provide professionals in the global financial services industry with a useful summary of the proposed rules set out in April 2006 by two US regulatory agencies – the Commodity Futures Trading Commission and the Securities and Exchange Commission. Design/methodology/approach – The paper begins with background information regarding this regulatory structure and concludes with an overview of the proposed rules. Findings – The issuance of these proposed rules is part of the continuing evolution of the regulatory structure in the US related to securities-based futures contracts and is, therefore, best understood within that broader context. Originality/value – The discussion of the proposed rules situates the continuing evolution of the securities-based futures contracts in the broad context of the US regulatory structure.
Financial control, Financial services, Futures markets, Securities markets, United States of America
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