US regulators release joint‐rule proposal regarding futures contracts on debt indexes and securities

Andrew P. Cross

Journal of Financial Regulation and Compliance, 2006, vol. 14, issue 4, 402-407

Abstract: 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.

Keywords: Futures markets; Securities markets; Financial services; Financial control; United States of America (search for similar items in EconPapers)
Date: 2006
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Persistent link: https://EconPapers.repec.org/RePEc:eme:jfrcpp:13581980610711162

DOI: 10.1108/13581980610711162

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