Registration - Swap Dealers and Major Swap Participants

The Commission issued final rules to establish the process for the registration of swap dealers and major swap participants under the Dodd-Frank Wall Street Reform and Consumer Protection Act.

Information regarding Registration is provided below.

Related Federal Register Releases

Final Rule: 78 FR 64173 // PDF Version
10/28/2013
17 CFR Part 23 Swap Dealers and Major Swap Participants; Clerical or Ministerial Employees
Effective Date: Wednesday, November 27, 2013

Final Rule: 77 FR 2613 // PDF Version
1/19/2012
17 CFR Parts 3, 23 and 170 Registration of Swap Dealers and Major Swap Participants
Effective Date: March 19, 2012

Proposed Rule: 75 FR 71379 // PDF Version
11/23/2010
17 CFR Parts 3, 23 and 170 Registration of Swap Dealers and Major Swap Participants
Comment File - Extended Date: 6/3/2011

Final Rule: 79 FR 57767 // PDF Version
9/26/2014
17 CFR Part I
Exclusion of Utility Operations-Related Swaps with Utility Special Entities from De Minimis Threshold for Swaps with Special Entities
Effective Date: Monday, October 27, 2014

Additional Information

Fact Sheet: Final Regulations Regarding Registration of Swap Dealers and Major Swap Participants

Q&As: Final Registration Process Regulations for Swaps Entities

Event: Open Meeting on Three Final Rules, One Proposed Rule and a Delegation of Authority Order

Fact Sheet: Proposed Rules Regarding Registration of Swap Dealers and Major Swap Participants

Q&As: Registration Process Rules for Swaps Entities

Event: Open Meeting on Fourth Series of Proposed Rules under the Dodd-Frank Act

Pre-Rulemaking Submissions

External Meetings about this Rulemaking

Date

MEETING WITH

REGARDING RULEMAKING

03/13/2013
12:00 AM
More Info

I. Registration

XXVI. Position Limits

Cross-Border

03/08/2013
4:00 PM
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NFA

I. Registration

02/04/2013
1:30 PM
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ISE

Eurex

I. Registration

XIV. FBOT Registration

01/24/2013
2:00 PM
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Delta Strategy Group

I. Registration

07/27/2012
3:00 PM
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NFA

I. Registration

07/12/2012
11:15 AM
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Societe Generale

Skadden

I. Registration

06/15/2012
8:30 AM
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Davis Polk

Fidelity

Goldman Sachs Asset Management

MFS

PIMCO

SIFMA

SIFMA Asset Management Group

Vanguard

I. Registration

XXVII. Investment Adviser Reporting

06/14/2012
4:00 PM
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Barclays Capital, Inc.

BNP Paribas

CIBC World Markets Corp.

Credit Suisse

Deutsche Bank AG

HSBC Bank USA

Institute of International Bankers (IIB)

Mizuho Corporate Bank, Ltd.

Royal Bank of Canada

Standard Chartered Bank

UBS

I. Registration

II. Definitions

XVII. Data Recordkeeping

XVIII. Real Time Reporting

06/12/2012
11:00 AM
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Nomura

I. Registration

V. Capital & Margin

General

06/08/2012
2:00 PM
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UBS

I. Registration

06/05/2012
4:00 PM
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BP America Inc.

I. Registration

II. Definitions

05/11/2012
1:30 AM
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BBVA

I. Registration

05/08/2012
11:00 AM
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AmCham EU

I. Registration

10/05/2011
9:00 AM
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JP Morgan Chase & Co.

I. Registration

II. Definitions

III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards – Internal

V. Capital & Margin

10/04/2011
11:00 AM
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NFA

I. Registration

09/28/2011
9:00 AM
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Morgan Stanley

I. Registration

II. Definitions

III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards – Internal

V. Capital & Margin

09/22/2011
10:00 AM
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Goldman Sachs & Co.

I. Registration

II. Definitions

V. Capital & Margin

06/14/2011
1:00 PM
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Mizuho Securities USA, Inc. (MSUSA)

Sherman & Sterling LLP (Sherman & Sterling)

Sapient Global Markets (Sapient)

I. Registration

II. Definitions

III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards – Internal

V. Capital & Margin

05/25/2011
3:00 PM
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Goldman Sachs

I. Registration

II. Definitions

05/19/2011
5:30 PM
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JPMorgan Chase

I. Registration

II. Definitions

05/18/2011
1:00 PM
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Winton Capital

King Street

Tudor

DE Shaw

Serengeti

MFA

Delta

I. Registration

XXVI. Position Limits

05/18/2011
1:00 PM
More Info

Bunge

I. Registration

II. Definitions

05/18/2011
12:00 PM
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Winton Capital

King Street

Tudor

DE Shaw

Serengeti

MFA

Delta Strategies

I. Registration

XXVI. Position Limits

04/28/2011
3:00 PM
More Info

AIMA

I. Registration

VII. DCO Core Principles

XXVI. Position Limits

04/15/2011
11:30 AM
More Info

Goldman Sachs Bank USA

I. Registration

II. Definitions

04/08/2011
4:00 PM
More Info

Rabobank

Davis Polk

I. Registration

II. Definitions

III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards – Internal

V. Capital & Margin

XVII. Data Recordkeeping

XVIII. Real Time Reporting

General

03/31/2011
3:00 PM
More Info

Working Group of Commercial Energy Firms

03/22/2011
5:00 PM
More Info

Credit Suisse, Deutsche Bank, Citi, JP Morgan, Barclays, Morgan Stanley, Goldman Sachs, UBS

I. Registration

II. Definitions

III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards – Internal

XVII. Data Recordkeeping

XVIII. Real Time Reporting

03/16/2011
3:30 PM
More Info

Institute of International Bankers

I. Registration

II. Definitions

01/28/2011
10:00 AM
More Info

NYSE

Tradeweb

FXall

LCH.Clearnet

I. Registration

VII. DCO Core Principles

IX. Governance & Possible Limits

01/28/2011
9:30 AM
More Info

FXall

LCH.Clearnet

NYSE Euronext

Tradeweb

I. Registration

IX. Governance & Possible Limits

01/27/2011
9:30 AM
More Info

ABASA member banks; Cecilia Calaby, ABASA; Paul Architzel, Wilmer Hale

I. Registration

II. Definitions

01/14/2011
2:00 PM
More Info

Sullivan and Cromwell, LLP

I. Registration

II. Definitions

01/14/2011
10:00 AM
More Info

Barclays Bank plc

BNP Paribas S.A.

Deutsche Bank AG

Societe Generale

The Royal Bank of Scotland Group plc

UBS AG

The Royal Bank of Canada

Davis, Polk, and Wardwell, LLP

I. Registration

II. Definitions

IV. Business Conduct Standards – Internal

12/07/2010
11:00 AM
More Info

Managed Funds Association

I. Registration

II. Definitions

IV. Business Conduct Standards – Internal

V. Capital & Margin

11/15/2010
2:00 PM
More Info

Societe Generale

I. Registration

II. Definitions

IV. Business Conduct Standards - Internal

11/10/2010
9:30 AM
More Info

D.E. Shaw & Co., L.P. (D.E. Shaw)

Deutsche Bank

International Swaps and Derivatives Association (ISDA)

Kalorama Partners LLC (Kalorama)

I. Registration

IX. Governance & Possible Limits

XIII. SEF Registration

XVI. Swap Data Repositories Registration

11/09/2010
3:00 PM
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Cargill Risk Management

I. Registration

11/09/2010
2:00 PM
More Info

LCH Clearnet

I. Registration

11/09/2010
11:00 AM
More Info

Electric Power Supply Association (EPSA)

I. Registration

II. Definitions

V. Capital & Margin

10/08/2010
10:00 AM
More Info

Members of MFA.

I. Registration

II. Definitions

XI. End-user Exception

XIII. SEF Registration

XXI. Joint Rules w/ SEC

XXVI. Position Limits

General

10/06/2010
8:30 AM
More Info

J.P. Morgan Chase & Co.

I. Registration

II. Definitions

V. Capital & Margin

VI. Segregation and Bankruptcy

VII. DCO Core Principles

VIII. Process for Review of Swaps

IX. Governance & Possible Limits

X. Systemically Important DCO Rules

XI. End-user Exception

09/29/2010
1:00 PM
More Info

Natural Gas Supply Association

I. Registration

II. Definitions

III. Business Conduct Standards w/ Counterparties

V. Capital & Margin

VI. Segregation and Bankruptcy

VIII. Process for Review of Swaps

XI. End-user Exception

XXVI. Position Limits

09/29/2010
9:30 AM
More Info

Winton Capital, Managed Funds Association

I. Registration

09/24/2010
1:00 PM
More Info

The National Futures Association (NFA)

I. Registration

III. Business Conduct Standards w/ Counterparties

XIII. SEF Registration

XVIII. Real Time Reporting

09/15/2010
1:30 PM
More Info

Morgan Stanley

I. Registration

II. Definitions

III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards - Internal

V. Capital & Margin

09/15/2010
12:30 PM
More Info

Morgan Stanley

I. Registration

II. Definitions

III. Business Conduct Standards w/ Counterparties

V. Capital & Margin