Browse Related Topics For:

Swap Dealers

331
CFTC
230
Swaps
178
Major Swap Participants
115
Dodd-Frank
88
SEC
55
No-Action Relief
54
Margin Requirements
47
Compliance
47
Reporting Requirements
42
No-Action Letters
38
Cross-Border
37
Derivatives
37
Security-Based Swaps
33
Recordkeeping Requirements
32
EU
30
DSIO
28
Commodities Exchange Act
27
Final Rules
26
Financial Institutions
25
ISDA
25
NFA
24
Commodity Pool
24
Cross-Border Transactions
24
Federal Reserve
24
OCC
22
Banks
22
Commodities
22
FCMs
22
Prudential Regulation Authority
21
Chief Compliance Officers
21
End-Users
21
Financial Markets
20
CPO
18
Enforcement Actions
16
FDIC
15
Proposed Regulation
14
Registration Requirement
14
Swap Market
13
Capital Requirements
12
CEA
12
Securities
12
Threshold Requirements
11
Broker-Dealer
11
Cybersecurity
11
Derivatives Clearing Organizations
11
Rating Agencies
10
Annual Reports
10
EMIR
10
FINRA
10
Fraud
10
Futures
10
Investment Adviser
10
IOSCO
10
SEFs
9
Business Conduct Standards
9
CPOs
9
CTA
9
Disclosure Requirements
9
Financial Conduct Authority (FCA)
9
National Futures Association
9
Required Documentation
9
RMBS
9
Title VII
9
Uncleared Swaps
8
Banking Sector
8
Counterparties
8
De Minimus Quantity Exemption
8
Foreign Banks
8
Securities Exchange Act
8
UK
7
Basel Committee
7
Brokers
7
CFPB
7
FHFA
7
Fitch
7
Registration
7
Swap Data Repositories
6
Australia
6
European Commission
6
Exemptions
6
Moody's
6
OTC
6
SIFMA
6
Volcker Rule
5
Anti-Money Laundering
5
Covered Swap Entities (CSE)
5
ERISA
5
European Banking Authority
5
European Securities and Markets Authority (ESMA)
5
Financial Regulatory Reform
5
Forward Contracts
5
High Frequency Trading
5
Natural Gas
5
Risk Management
4
Basel III
4
Civil Monetary Penalty
4
Class Action
4
CME
4
Covered Entities
4
Data Protection
4
DBRS
4
DF-Protocol
4
Enforcement
4
Filing Deadlines
4
Filing Requirements
4
FinCEN
4
FX Swaps
4
Information Systems Security Program (ISSP)
4
Insurance Industry
4
Mandatory Clearing Requirements
4
Market Participants
4
Memorandum of Understanding
4
Popular
4
Position Limits
4
Rulemaking Process
4
SCOTUS
4
Securities Fraud
4
Segregation Requirements
4
Swap Clearing
4
Swap Execution Facilities
4
Third-Party Service Provider
4
U.S. Person
3
Advanced Notice of Proposed Rulemaking (ANPRM)
3
AIFMD
3
Algorithmic Trading
3
Audits
3
Bank Holding Company
3
Bitcoin
3
Block Trades
3
Bona Fide Hedging
3
Canada
3
CEOs
3
Comment Period
3
Corporate Officers
3
DCMs
3
De Minimis Claims
3
Eligible Contract Participant
3
European Central Bank
3
False Claims Act (FCA)
3
Family Offices
3
Federal Register
3
Fiduciary Duty
3
Financial Services Industry
3
Financial Statements
3
Foreign Branches of U.S. Banks
3
Forex
3
Future Commission Merchants
3
Hedge Funds
3
Insider Trading
3
International Harmonization
3
Investment Funds
3
Investment Management
3
JOBS Act
3
Money Market Funds
3
Mortgage REITS
3
Mortgages
3
MSBSPs
3
NIST
3
Non-Cleared Swaps
3
Non-US Entities
3
NYDFS
3
OCIE
3
Pensions
3
Proposed Amendments
3
Regulation Z
3
Regulatory Agenda
3
Retirement Plan
3
Risk Mitigation
3
RTS
3
SPVs
3
Structured Finance
3
Time Extensions
3
Trade Options
3
Valuation
3
Whistleblowers
2
Advisory Opinions
2
Affiliates
2
AIFM
2
ALJ
2
Alternative Investment Funds
2
Amended Regulation
2
Appeals
2
Asset Management
2
Bank Holding Company Act
2
Bank of America
2
Banking Regulators
2
BCBS
2
C-Suite Executives
2
Central Counterparties
2
CMBS
2
Collateralized Debt Obligations
2
Collateralized Loan Obligations
2
Commodity Broker
2
Commodity Futures Contracts
2
Conflicts of Interest
2
Credit Ratings
2
Credit Support Annex (CSA)
2
Criminal Prosecution
2
Crowdfunding
2
Data Security
2
Deadlines
2
Dealers
2
Debt Restructuring
2
Depository Institutions
2
Designated Contract Market
2
Disruptive Trading Practices
2
Distressed Debt
2
DMO
2
DOJ
2
DOMA
2
Due Diligence
2
EDGAR
2
Electricity
2
Electronic Trading
2
European Supervisory Authorities (ESAs)
2
Exemptive Orders
2
Farm Credit Administration
2
FATCA
2
FERC
2
FinTech
2
Foreign Exchanges
2
Foreign Subsidiaries
2
FSOC
2
Fund of Funds
2
FX Forwards
2
General Solicitation
2
Global Systemically Important Financial Institutions (GSIFI)
2
Gramm-Leach-Blilely Act
2
GSE
2
Hackers
2
Hong Kong Securities and Futures Commission (HKSFC)
2
Industry Examinations
2
Interpretive Opinions
2
Introducing Brokers
2
Investment Companies
2
Investment Company Act of 1940
2
ISDA Master Agreement
2
Jurisdiction
2
Legacy Funds
2
Legal Entity Identifiers
2
Leverage Ratio
2
Life Insurance
2
Liquidity Risk Management Rule
2
Margin Calls
2
MF Global
2
Money Transfer
2
Morgan Stanley
2
Mutual Funds
2
Nonbank Firms
2
Oil & Gas
2
Online Marketplace Lending
2
Packaged Retail And Insurance-Based Investment Products (PRIIPS)
2
Pay Ratio
2
Pay-To-Play
2
Payday Loans
2
Pending Legislation
2
Personally Identifiable Information
2
Preliminary Injunctions
2
Private Funds
2
Professional Conferences
2
Proposed Rules
2
Proprietary Trading
2
Proxy Voting Guidelines
2
Public Comment
2
Registered Investment Companies (RICs)
2
Regulation D
2
Regulation M
2
Regulatory Oversight
2
Reinsurance
2
Risk Assessment
2
S&P
2
Securities Act of 1933
2
Securitization Vehicles
2
Segregated Funds
2
Settlement
2
Shadow Banking
2
Shareholders
2
Short Sales
2
Stand-Alone SBSDs
2
Student Loans
2
Terrorism Insurance
2
UCITS
2
Underwriting
2
Utilities Sector
2
Utility Special Entities
2
Variation Margin Requirements (VM)
2
Wells Fargo
2
Whistleblower Protection Policies
1
Advertising
1
Aggregation Rules
1
Agricultural Sector
1
AIG
1
Airlines
1
Alternative Trading Systems
1
Amnesty International
1
Annual Meeting
1
Anti-Corruption
1
Appointments Clause
1
Appraisal Rights
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 of England
1
Bank of New York (BNY) Mellon
1
Bank Secrecy Act
1
Bankruptcy Court
1
Barclays
1
Benchmarking
1
Beneficiaries
1
Bernie Madoff
1
Best Interest Contract Exemptions
1
Best Interest Standard
1
BlackRock
1
Blockchain
1
Board of Directors
1
Borrowers
1
BP
1
Breach Notification Rule
1
BRRD
1
BSA/AML
1
Business Development
1
C&DIs
1
Carbon Taxes
1
CashCall
1
CBOE
1
CCPs
1
Cease and Desist Orders
1
Chapter 9
1
China
1
Churches
1
CISO
1
Citigroup
1
Class Certification
1
Clawbacks
1
Clearing Agencies
1
Clearing Members
1
Climate Change
1
Closed-End Funds
1
CME NYMEX
1
Collateral
1
Commercial Bankruptcy
1
Commercial Leases
1
Commercial Tenants
1
Commingling
1
Committee on Payments and Market Infrastructure (CPMI)
1
Commodity Interest
1
Community Banks
1
Compensation
1
Compensation & Benefits
1
Confidentiality Agreements
1
Conflict Mineral Rules
1
Congressional Budget Office
1
Consumer Bankruptcy
1
Consumer Financial Products
1
Consumer Protection Act
1
Contests & Promotions
1
Continuing Legal Education
1
Corporate Counsel
1
Corporate Executives
1
Covered Bonds
1
CRA
1
CRD IV Directive
1
Credit Default Swaps
1
Creditors
1
Custodian of Records
1
Custody Rule
1
Customer Funds Protection
1
Cyber Attacks
1
Cyber Incident Reporting
1
Cyber Threats
1
Cybersecurity Framework
1
Czyzewski v Jevic Holding Corp
1
Dark Pool
1
Data Breach Plans
1
Data Collection
1
Data Privacy
1
Data Reporting
1
Data Storage Providers
1
Default
1
Delaware General Corporation Law
1
Deregulation
1
Deutsche Bank
1
Digital Currency
1
Directors
1
Disciplinary Proceedings
1
Discounts
1
Dismissals
1
Distributed Ledger Technology (DLT)
1
Dividends
1
DOL
1
Durbin Amendment Rules
1
EBA
1
ECON
1
EMEA
1
Emerging Growth Companies
1
Employee Benefits
1
Employee Training
1
Energy Sector
1
Entity Classification
1
Equity Markets
1
Equity Plans
1
Established Business Relationship
1
Ethanol
1
EU Data Protection Laws
1
EU Directive
1
EU Market Abuse Regulation (EU MAR)
1
European Union Delegated Act (EUDA)
1
Examination Priorities
1
Exclusive Jurisdiction
1
Exclusive Remedy
1
Executive Compensation
1
Exemptive Relief
1
Extensions
1
Extraterritoriality Rules
1
Fair Housing Act (FHA)
1
Fair Lending
1
False Statements
1
FATF
1
FBAR
1
FCPA
1
FDCPA
1
Federal Civil Penalties Inflation Adjustment Act of 1990
1
Federal Contractors
1
Federal Election Commission (FEC)
1
Federal Tort Claims Act (FTCA)
1
Fee Waivers
1
Fee-Shifting
1
Fees
1
Financial Actvities
1
Financial Products
1
Financial Services Authority
1
Financial Transaction Tax
1
Fixed Income Investments
1
Foreclosure
1
Foreign Entities
1
Foreign Investment
1
Foreign Markets
1
Foreign Nationals
1
Form D Filing
1
Forum
1
Forum Selection
1
Forward Contract Exclusion
1
Fracking
1
Franchises
1
Fraud-on-the-Market
1
Frozen Assets
1
FSB
1
FSMA
1
FTC
1
Funding Requirements
1
Fundraisers
1
GAO
1
GMAC
1
Goldman Sachs
1
Government Shutdown
1
Grocery Stores
1
Guaranty Claims
1
Guidance Update
1
Halliburton v Erica P. John Fund
1
Harmonization Rules
1
Healthcare
1
Hedges
1
Hedging
1
Hong Kong
1
Hurricane Sandy
1
ICE
1
Identity Theft
1
Incident Response Plans
1
Income Taxes
1
Indemnity Agreements
1
Indictments
1
Inflation Adjustments
1
Information Technology
1
Infrastructure
1
Innovative Technology
1
Interim Rule
1
Intermediaries
1
International Finance
1
Interpretive Letters
1
Interpretive Rule
1
Interstate Commerce
1
Investment
1
Investment Advisers Act of 1940
1
Investment Firms
1
Investment Fraud
1
Investment Portfolios
1
Investor Protection
1
Investors
1
IRA
1
IRS
1
ISOs
1
ISS
1
iTraxx CDS indices
1
Joint and Several Liability
1
JPMorgan Chase
1
Judge Rakoff
1
KBRA
1
Keystone XL Pipeline
1
Layering
1
Leases
1
Legislative Agendas
1
Libor
1
Lien Priority
1
Liens
1
Loan Modifications
1
Loans
1
Lobbying
1
Management Fees
1
Management Proposals
1
Managers
1
Material Misstatements
1
Meals-Gifts-and Entertainment Rules
1
Mergers
1
Merrill Lynch
1
Mexico
1
MiFID
1
MiFID II
1
Mining
1
Misappropriation
1
Misrepresentation
1
Mobile Banking
1
Mobile Device Management
1
Money Laundering
1
Mortgage Insurance
1
Mortgage Priority
1
MSRB
1
Municipal Bonds
1
NASAA
1
Native American Issues
1
NCUA
1
Netherlands
1
New Regulations
1
Non-Performing Loans (NPL)
1
Non-Profits
1
NOPR
1
Notice Requirements
1
NPRM
1
NYSE
1
Obama Administration
1
OCR
1
Offshore Funds
1
OFR
1
Ontario Securities Commission (OSC)
1
Ordinary Business Exception
1
Outsourcing
1
Parent Corporation
1
Pay-for-Performance
1
Penny Stocks
1
Pension Funds
1
Peregrine Financial Group
1
Perishable Agricultural Commodities Act (PACA)
1
Person with Significant Control (PSC Register)
1
Personal Data
1
Policy Violations
1
Political Candidates
1
Portal
1
Ports
1
Preemption
1
Prepaid Payment Products
1
Presidential Elections
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
PTEs
1
Public Disclosure
1
Public Meetings
1
Puerto Rico
1
Puerto Rico Oversight Management and Economic Stability Act (PROMESA)
1
Push-Out Requirements
1
Qualified Mortgage Rule
1
RAISE Act
1
Registered Futures Association Membership
1
Regulation AT
1
Regulation FD
1
Regulation NMS
1
Regulation S
1
Regulation SCI
1
Regulation SHO
1
Regulation Technical Standards (RTS)
1
Regulatory Standards
1
REIT
1
Renewable Energy
1
Resale Exemption
1
Rescission
1
Resource Extraction
1
RESPA
1
Restructuring
1
Risk-Based Approaches
1
RTO
1
Rule 10(b)
1
Rule 506 Offerings
1
Rule 506(c)
1
Safe Harbors
1
Sanctions
1
SBS Entities
1
Section 5
1
Securities Exchanges
1
Securities Litigation
1
Securities Violations
1
Securitization
1
Security Risk Assessments
1
Senior Managers Insurers Regime (SMIR)
1
Sensitive Business Information
1
Sequestration
1
Serious Fraud Office
1
Severance Agreements
1
Shareholder Litigation
1
Shareholder Proposals
1
Shipping
1
Single Supervisory Mechanism
1
Small Business
1
Small Entity Compliance Guide
1
Social Media
1
Solvency II
1
Source Code
1
Spoofing
1
Sports
1
Startups
1
Statutory Interpretation
1
Stock Options
1
Stress Tests
1
Structured Settlements
1
Superannuation
1
SuperPACs
1
Swap Agreements
1
Swing Pricing
1
Tax Evasion
1
Tax Shelters
1
Technical Conference
1
Technical Standards
1
Telecommunications
1
Theft
1
Third-Party
1
TILA-RESPA Integrated Disclosure Rule (TRID)
1
Time-Barred Debt
1
Title Insurance
1
TRACE
1
Trade Agreements
1
Trade Market Abuse
1
Trading Platforms
1
Training Requirements
1
Transparency
1
Treasury Affiliates
1
TRIA
1
Tribal Loans
1
Trinity Wall Street
1
trueEX
1
Trust Preferred Securities
1
Trustees
1
Truth in Lending Act (TILA)
1
TTIP
1
U.S. Treasury
1
UBS
1
UK Brexit
1
Underwater Homeowners
1
Unions
1
Unsecured Debt
1
Variable Insurance
1
Wal-Mart
1
Wall Street
1
Wash Trades
1
Webinars
1
Wind Power
1
Withdrawal
1
World Bank