Swaps

This is a final rule, released in July 2012 by the SEC and the CFTC that serves Dodd-Frank's desire to regulate derivatives. This rule further ...

This is a final rule, inspired by Dodd-Frank and produced jointly by the CFTC and the SEC to further define “Swap,”“Security-Based Swap,” and “Security-Based Swap ...

This is a small correction to the SEC's and CFTC's joint definitions of “swap dealer,”“security-based swap dealer,”“major swap participant,”“major security-based swap participant” and “eligible contract ...

The rules further defined the terms ‘‘swap dealer,’’ ‘‘security-based swap dealer,’’ ‘‘major swap participant,’’ ‘‘major security-based swap participant’’ and ‘‘eligible contract participant.’’ Only the rules ...

This final rule introduces the Dodd-Frank reforms to require documentation between a customer and a futures commission merchant on clearing trades.

This is a final rule released by the CFTC in 2012 entitled Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission ...

These rules prescribe external business conduct standards for swap dealers and major swap participants.

This is the form the CFTC devised to satisfy its 2012 rule for pool quarterly reporting by commodity pool operators. It's technically called CFTC Form ...

This CFTC final rule from 2012 puts in place regulations imposing requirements on futures commission merchants (FCMs) and derivatives clearing organizations (DCOs) regarding the treatment ...

This final rule puts in place the Dodd-Frank reforms that included the registration of swap dealers and major swap participants.