Home Swaps


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This new CFTC final rule, which imposes minimum capital requirements on swap dealers and major swap participants, becomes effective in June, and the compliance date ...
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This rule is effective May 31, 2024
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The CFTC proposes to require that FCMs, swap dealers, and major swap participants establish, document, implement, and maintain an Operational Resilience Framework reasonably designed to ...
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This proposed CFTC rule, which would accept comments until Feb. 13, 2024, would, among other things, seek to make it easier for swap dealers to ...
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The alert recounts the fundamental compliance rules under the SEC’s security-based swaps regime, and points out where some swap dealers are coming up short
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The Division encourages security-based swap dealers to consider improvements in their compliance programs, as may be appropriate, to further compliance with Exchange Act requirements. The ...
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This proposed rule from the CFTC would allow for continued geographic masking after the designation of the unique product identifier and product classification system for ...
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These new rules and forms would create a regime for the registration and regulation of security-based swap execution facilities and address issues related to security-based ...
Commission action creates a new regulatory framework featuring the required registration and regultion of security-based swap execution facilities
SEC Chairman Gensler
"Based upon the current market for security-based swaps, we expect that the entities that will register as security-based SEFs also are registered as SEFs with ...

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