Swap Dealer (SD)

In 2012 the CFTC delegated the registration of Swap Dealers to the National Futures Association (“NFA”).  See 77 FR 2708 (Jan. 19, 2012).  For details regarding the registration of Swap Dealers, please visit the NFA website link here: https://www.nfa.futures.org/registration-membership/who-has-to-register/sd-msp.html

In addition, Swap Dealers can find other resources on the Division of Swap Dealer and Intermediary Oversight (“DSIO”) webpage, link here: https://www.cftc.gov/About/CFTCOrganization/DSIOmission.html

DSIO resources include:

  • Advisories;
  • Guidance;
  • Staff No Action Letters;
  • Proposed Rules;
  • Final Rules;
  • Examination Priorities; and
  • Contact information regarding Senior Staff