Font Size: AAA // Print // Bookmark

Dodd-Frank Act

  • Provisionally Registered Swap Dealers

    A list of provisionally registered swap dealers is listed below. This list is current as of October 14, 2014.

    ABBEY NATIONAL TREASURY SERVICES PLC

    AUSTRALIA AND NEW ZEALAND BANKING GROUP LTD

    BANCO BILBAO VIZCAYA ARGENTARIA SA

    BANCO SANTANDER SA

    BANK OF AMERICA NA

    BANK OF MONTREAL

    BANK OF NEW YORK MELLON THE

    BANK OF NOVA SCOTIA THE

    BANK OF TOKYO MITSUBISHI UFJ LTD THE

    BARCLAYS BANK PLC

    BNP PARIBAS

    BP ENERGY COMPANY

    BTIG LLC

    CANADIAN IMPERIAL BANK OF COMMERCE

    CARGILL INCORPORATED

    CITIBANK N A

    CITIGROUP ENERGY INC

    CITIGROUP GLOBAL MARKETS INC

    CITIGROUP GLOBAL MARKETS LIMITED

    COMMERZBANK AG

    COMMONWEALTH BANK OF AUSTRALIA

    CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK

    CREDIT SUISSE INTERNATIONAL

    CREDIT SUISSE SECURITIES EUROPE LIMITED

    DANSKE BANK AS

    DB ENERGY TRADING LLC

    DEUTSCHE BANK AG

    ED&F MAN CAPITAL MARKETS LIMITED

    FOREX CAPITAL MARKETS LLC

    FXDIRECTDEALER LLC

    GAIN GTX LLC

    GLOBAL FUTURES & FOREX LTD

    GOLDMAN SACHS & CO

    GOLDMAN SACHS BANK USA

    GOLDMAN SACHS DO BRASIL BANCO MULTIPLO SA

    GOLDMAN SACHS FINANCIAL MARKETS LP

    GOLDMAN SACHS FINANCIAL MARKETS PTY LTD

    GOLDMAN SACHS INTERNATIONAL

    GOLDMAN SACHS JAPAN CO LTD

    GOLDMAN SACHS MITSUI MARINE DERIVATIVE PRODUCTS LP

    GOLDMAN SACHS PARIS INC ET CIE

    HSBC BANK PLC

    HSBC BANK USA NA

    IBFX INC

    ING CAPITAL MARKETS LLC

    INTL FCSTONE MARKETS LLC

    J ARON & COMPANY

    J ARON & COMPANY SINGAPORE PTE

    JB DRAX HONORE UK LTD

    JEFFERIES BACHE FINANCIAL SERVICES INC

    JEFFERIES DERIVATIVE PRODUCTS LLC

    JEFFERIES FINANCIAL PRODUCTS LLC

    JP MORGAN SECURITIES LLC

    JP MORGAN SECURITIES PLC

    JP MORGAN VENTURES ENERGY CORPORATION

    JPMORGAN CHASE BANK NATIONAL ASSOCIATION

    KEYBANK NATIONAL ASSOCIATION

    LLOYDS BANK PLC

    MACQUARIE BANK LIMITED

    MACQUARIE ENERGY LLC

    MERRILL LYNCH CAPITAL SERVICES INC

    MERRILL LYNCH COMMODITIES EUROPE LIMITED

    MERRILL LYNCH COMMODITIES INC

    MERRILL LYNCH FINANCIAL MARKETS INC

    MERRILL LYNCH INTERNATIONAL

    MERRILL LYNCH INTERNATIONAL BANK LIMITED

    MERRILL LYNCH JAPAN SECURITIES CO LTD

    MITSUBISHI UFJ SECURITIES INTERNATIONAL PLC

    MITSUI & CO PRECIOUS METALS INC

    MIZUHO CAPITAL MARKETS CORPORATION

    MIZUHO SECURITIES USA INC

    MORGAN STANLEY & CO INTERNATIONAL PLC

    MORGAN STANLEY & CO LLC

    MORGAN STANLEY BANK INTERNATIONAL LIMITED

    MORGAN STANLEY BANK NA

    MORGAN STANLEY CAPITAL GROUP INC

    MORGAN STANLEY CAPITAL SERVICES LLC

    MORGAN STANLEY DERIVATIVE PRODUCTS INC

    MORGAN STANLEY MEXICO CASA DE BOLSA SA DE CV

    MORGAN STANLEY MUFG SECURITIES CO LTD

    NATIONAL AUSTRALIA BANK LIMITED

    NATIXIS

    NEWEDGE USA LLC

    NOMURA DERIVATIVE PRODUCTS INC

    NOMURA GLOBAL FINANCIAL PRODUCTS INC

    NOMURA INTERNATIONAL PLC

    NORTHERN TRUST COMPANY THE

    PNC BANK NATIONAL ASSOCIATION

    RJ OBRIEN ASSOCIATES LLC

    ROYAL BANK OF CANADA

    ROYAL BANK OF SCOTLAND PLC THE

    SHELL TRADING RISK MANAGEMENT LLC

    SKANDINAVISKA ENSKILDA BANKEN AB PUBL

    SMBC CAPITAL MARKETS INC

    SOCIETE GENERALE NEWEDGE UK LIMITED

    SOCIETE GENERALE S A

    STANDARD CHARTERED BANK

    STATE STREET BANK AND TRUST COMPANY

    SUNTRUST BANK

    TORONTO DOMINION BANK THE

    UBS AG

    UNICREDIT BANK AG

    US BANK NA

    WELLS FARGO BANK NA

    WESTPAC BANKING CORPORATION

See Also:

OpenGov Logo

CFTC's Commitment to Open Government

Gavel and Book

Follow the Status of Enforcement Actions