CFTC to Consider Registration of Swap Dealers Nov. 10
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.
Check dodd-frank.com frequently for updates on the Dodd-Frank Act and other important securities law matters.
Contact Steve Quinlivan for more information.