Browse Related Topics For:

Swap Dealers

229
CFTC
177
Swaps
128
Major Swap Participants
88
Dodd-Frank
61
SEC
46
No-Action Relief
41
Compliance
36
No-Action Letters
31
Cross-Border
29
Reporting Requirements
27
DSIO
23
Security-Based Swaps
22
Derivatives
22
Margin Requirements
21
Recordkeeping Requirements
19
CPO
19
ISDA
18
Commodity Pool
18
FCMs
17
EU
17
Federal Reserve
17
Prudential Regulation Authority
15
Banks
15
Cross-Border Transactions
15
End-Users
14
Commodities
13
Chief Compliance Officers
13
OCC
13
Proposed Regulation
12
CEA
12
Commodities Exchange Act
11
Final Rules
10
FDIC
9
Fraud
9
IOSCO
9
SEFs
8
Foreign Banks
8
Investment Adviser
8
NFA
8
Required Documentation
8
Title VII
7
Annual Reports
7
Broker-Dealer
7
Derivatives Clearing Organizations
7
EMIR
7
Enforcement Actions
7
Swap Market
6
CFPB
6
Disclosure Requirements
6
Futures
6
Registration
6
Swap Data Repositories
5
Basel Committee
5
Capital Requirements
5
Counterparties
5
CTA
5
Financial Regulatory Reform
5
FINRA
5
Forward Contracts
5
Rating Agencies
5
RMBS
5
Securities
5
Volcker Rule
4
Australia
4
Brokers
4
Business Conduct Standards
4
Class Action
4
DF-Protocol
4
Enforcement
4
ERISA
4
ESMA
4
European Banking Authority
4
European Commission
4
FHFA
4
Filing Deadlines
4
Financial Institutions
4
FinCEN
4
JOBS Act
4
Mandatory Clearing Requirements
4
National Futures Association
4
Natural Gas
4
OTC
4
Registration Requirement
4
Securities Exchange Act
4
Securities Fraud
4
Segregation Requirements
4
Swap Execution Facilities
3
Anti-Money Laundering
3
Audits
3
Banking Sector
3
Bona Fide Hedging
3
CME
3
Corporate Officers
3
CPOs
3
Eligible Contract Participant
3
Exemptions
3
False Claims Act
3
Family Offices
3
FCA
3
Filing Requirements
3
Foreign Branches of U.S. Banks
3
FX Swaps
3
High Frequency Trading
3
Insider Trading
3
Investment Funds
3
Market Participants
3
Mortgage REITS
3
MSBSPs
3
Non-US Entities
3
Pensions
3
Position Limits
3
Regulation Z
3
Rulemaking Process
3
SCOTUS
3
SPVs
3
Swap Clearing
3
Trade Options
3
U.S. Person
3
UK
2
Advertising
2
Advisory Opinions
2
Affiliates
2
AIFM
2
AIFMD
2
ALJ
2
Alternative Investment Funds
2
ANPRM
2
Asset Management
2
Bank Holding Company Act
2
Bank of America
2
Basel III
2
Block Trades
2
Canada
2
CEOs
2
Collateralized Loan Obligations
2
Commodity Futures Contracts
2
Covered Entities
2
Covered Swap Entities (CSE)
2
Credit Ratings
2
Crowdfunding
2
Designated Contract Market
2
DMO
2
DOMA
2
EDGAR
2
Exemptive Orders
2
FATCA
2
Federal Register
2
Financial Conduct Authority
2
Financial Markets
2
Fitch
2
Fund of Funds
2
FX Forwards
2
General Solicitation
2
Gramm-Leach-Blilely Act
2
Hedge Funds
2
International Harmonization
2
Legacy Funds
2
Leverage Ratio
2
Life Insurance
2
MF Global
2
Money Market Funds
2
Moody's
2
Mortgages
2
Nonbank Firms
2
OCIE
2
Pay Ratio
2
Preliminary Injunctions
2
Private Funds
2
Proposed Amendments
2
Proprietary Trading
2
Proxy Voting Guidelines
2
Public Comment
2
Regulation D
2
Regulation M
2
Reinsurance
2
Retirement Plan
2
Securities Act of 1933
2
Securitization Vehicles
2
Segregated Funds
2
Short Sales
2
SIFMA
2
Stand-Alone SBSDs
2
Time Extensions
2
UCITS
2
Underwriting
2
Utilities Sector
2
Utility Special Entities
2
Valuation
2
Whistleblowers
1
Aggregation Rules
1
Amnesty International
1
Anti-Corruption
1
Appeals
1
Appointments Clause
1
Arbitration
1
Arbitration Agreements
1
Articles of Incorporation
1
Associated Persons
1
ATS
1
Auditors
1
Australian Securities and Investments Commission
1
Background Checks
1
Bailout
1
Bank Fraud
1
Bank Holding Company
1
Bank of England
1
Bank Secrecy Act
1
BCBS
1
Beneficiaries
1
Bernie Madoff
1
Bitcoins
1
BlackRock
1
BNY Mellon
1
Board of Directors
1
Borrowers
1
BP
1
Business Development
1
C&DIs
1
C-Suite Executives
1
Carbon Taxes
1
CBOE
1
China
1
Churches
1
Citigroup
1
Civil Monetary Penalty
1
Class Certification
1
Clawbacks
1
Clearing Agencies
1
Clearing Members
1
Climate Change
1
CME NYMEX
1
Collateral
1
Collateralized Debt Obligations
1
Commercial Leases
1
Commingling
1
Committee on Payments and Market Infrastructure (CPMI)
1
Commodity Broker
1
Commodity Interest
1
Community Banks
1
Compensation & Benefits
1
Confidentiality Agreements
1
Conflict Mineral Rules
1
Conflicts of Interest
1
Contests & Promotions
1
Corporate Counsel
1
Credit Default Swaps
1
Criminal Prosecution
1
Custody Rule
1
Customer Funds Protection
1
Dark Pool
1
Data Protection
1
DCMs
1
De Minimus Quantity Exemption
1
Deadlines
1
Debt Restructuring
1
Default
1
Depository Institutions
1
Directors
1
Discounts
1
Dismissals
1
Dividends
1
DOJ
1
Due Diligence
1
Durbin Amendment Rules
1
EBA
1
Electricity
1
Emerging Growth Companies
1
Employee Benefits
1
Energy
1
Equity Markets
1
Equity Plans
1
Established Business Relationship
1
Ethanol
1
EU Data Protection Laws
1
EU Directive
1
European Central Bank
1
Exclusive Jurisdiction
1
Exclusive Remedy
1
Executive Compensation
1
Extensions
1
Extraterritoriality Rules
1
Fair Lending
1
False Statements
1
Farm Credit Administration
1
FBAR
1
FCPA
1
FDCPA
1
Fee Waivers
1
Fee-Shifting Statutes
1
Fees
1
FERC
1
FHA
1
Fiduciary Duty
1
Financial Actvities
1
Financial Products
1
Financial Sector
1
Financial Services Authority
1
Financial Statements
1
Financial Transaction Tax
1
Fixed Income Investments
1
Foreign Exchanges
1
Foreign Investment
1
Foreign Markets
1
Foreign Nationals
1
Foreign Subsidiaries
1
Forex
1
Form D Filing
1
Forum
1
Forum Selection Clause
1
Forward Contract Exclusion
1
Fracking
1
Fraud-on-the-Market
1
Frozen Assets
1
FSMA
1
FSOC
1
FTC
1
FTCA
1
Funding Requirements
1
Future Commission Merchants
1
Global Systemically Important Financial Institutions (GSIFI)
1
GMAC
1
Goldman Sachs
1
Government Shutdown
1
Guidance Update
1
Hackers
1
Halliburton v Erica P. John Fund
1
Healthcare
1
Hedges
1
Hedging
1
Hong Kong
1
Hurricane Sandy
1
ICE
1
Identity Theft
1
Income Taxes
1
Indictments
1
Infrastructure
1
Insurers
1
Intermediaries
1
Interpretive Opinions
1
Interstate Commerce
1
Introducing Brokers
1
Investment Advisers Act of 1940
1
Investment Company Act of 1940
1
Investment Firms
1
Investment Fraud
1
Investment Management
1
Investment Portfolios
1
Investors
1
ISDA Master Agreement
1
ISOs
1
ISS
1
iTraxx CDS indices
1
Joint and Several Liability
1
Judge Rakoff
1
Jurisdiction
1
Keystone XL Pipeline
1
Leases
1
Legal Entity Identifiers
1
Legislative Agendas
1
Libor
1
Loan Modifications
1
Management Fees
1
Managers
1
Margin Calls
1
Material Misstatements
1
Memorandum of Understanding
1
Merrill Lynch
1
MiFID
1
Misappropriation
1
Misrepresentation
1
Mobile Banking
1
Money Transfer
1
Morgan Stanley
1
MSRB
1
Municipal Bonds
1
Mutual Funds
1
NASAA
1
Netherlands
1
New Regulations
1
NOPR
1
Notice Requirements
1
NPRM
1
NYSE
1
Offshore Funds
1
Online Marketplace Lending
1
OSC
1
Pay-for-Performance
1
Pay-To-Play
1
Payday Loans
1
Pending Legislation
1
Penny Stocks
1
Pension Funds
1
Peregrine Financial Group
1
Personally Identifiable Information
1
Popular
1
Portal
1
Preemption
1
Prepaid Payment Products
1
Price Manipulation
1
Private Equity
1
Private Offerings
1
Private Placements
1
Promissory Notes
1
Proposed Legislation
1
Proxy Season
1
Proxy Statements
1
Prudential Standards
1
Public Disclosure
1
Push-Out Requirements
1
Qualified Mortgage Rule
1
Regulation FD
1
Regulation S
1
Regulation SHO
1
Regulatory Agenda
1
REIT
1
Renewable Energy
1
Rescission
1
Resource Extraction
1
RESPA
1
Risk Assessment
1
Risk Management
1
Risk Mitigation
1
RTO
1
Rule 10(b)
1
Rule 506 Offerings
1
Rule 506(c)
1
Safe Harbors
1
SBS Entities
1
Section 5
1
Sequestration
1
Settlement
1
Shadow Banking
1
Shareholder Litigation
1
Shareholders
1
Small Business
1
Small Entity Compliance Guide
1
Social Media
1
Statutory Interpretation
1
Stock Options
1
Student Loans
1
Superannuation
1
Swap Agreements
1
Tax Evasion
1
Tax Shelters
1
Technical Standards
1
Terrorism Insurance
1
Third-Party Service Provider
1
Threshhold Requirements
1
TILA
1
TILA-RESPA Integrated Disclosure Rule (TRID)
1
Trade Market Abuse
1
Transparency
1
Treasury Affiliates
1
TRIA
1
trueEX
1
Trust Preferred Securities
1
Trustees
1
U.S. Treasury
1
Uncleared Swaps
1
Unions
1
Unsecured Loans
1
Variable Insurance
1
Wall Street
1
Whistleblower Protection Policies
1
Wind Power
1
Withdrawal
1
World Bank