Dodd-Frank.com

CFTC to Consider Registration of Swap Dealers Nov. 10

By | November 3, 2010

The CFTC will hold a public meeting on Wednesday, November 10, 2010, to consider the issuance of the following proposed rulemakings under the Dodd-Frank Wall Street Reform and Consumer Protection Act:

  •  Registration of Foreign Boards of Trade;
  • Registration of swap dealers and major swap participants;
  • Implementation of the Whistleblower provisions of Section 23 of the Commodity Exchange Act;
  • Establishing and governing the duties of swap dealers and major swap participants;
  • Implementation of conflict-of-interest policies and procedures by futures commission merchants, introducing brokers, swap dealers and major swap participants; and
  • Designation of a chief compliance officer, required compliance policies and annual reports of futures commission merchant, swap dealers and major swap participants.

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Contact Steve Quinlivan for more information.

Topics: 
Banking, Derivatives, Energy