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Tag Archives: Dealer
CFTC adopts $8 billion threshold for swap dealer de minimis exception
On November 13, 2018, the CFTC published its Final Rule (Final Rule) setting its de minimis exception threshold to swap dealer registration and regulation requirements at an aggregate gross notional amount (“AGNA”) threshold of $8 billion in swap dealing … Continue reading
Posted in Banking and Finance law
Tagged adopts, Billion, CFTC, Dealer, Exception, minimis, Swap, Threshold
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WaPo: Pr. George’s police thought they were bursting into home of a drug dealer. They were at an innocent man’s door instead.
WaPo: Pr. George’s police thought they were bursting into home of a drug dealer. They were at an innocent man’s door instead. by Lynh Bui and Clarence Williams: A police search warrant team going after a drug dealer targeted the … Continue reading
Industry groups support CFTC proposal on swap dealer registration; watchdog calls it ‘Swiss cheese’
By Lene Powell, J.D. Major financial industry associations including SIFMA, ISDA, and FIA largely supported a CFTC proposal setting the amount and types of swap dealing activity that trigger the requirement to register as a swap dealer. However, public interest … Continue reading
Posted in Banking and Finance law
Tagged Calls, CFTC, Cheese, Dealer, Groups, industry, Proposal, Registration, Support, Swap, Swiss, Watchdog
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DSIO leaders weigh in on proposed swap dealer rule amendments
By Brad Rosen, J.D.Leadership from the CFTC’s Division of Swap Dealer & Intermediary Oversight (DSIO) elaborated on the recently proposed amendments to the swap dealer de minimis exception, the highlight of which is the exemption from swap dealer registration at … Continue reading
Posted in Banking and Finance law
Tagged Amendments, Dealer, DSIO, Leaders, Proposed, Rule, Swap, Weigh
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