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

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