Browse Related Topics For:

Swap Dealers

265
CFTC
190
Swaps
157
Major Swap Participants
97
Dodd-Frank
75
SEC
49
No-Action Relief
44
Compliance
38
No-Action Letters
37
Reporting Requirements
33
Margin Requirements
31
Cross-Border
30
Security-Based Swaps
28
Recordkeeping Requirements
27
DSIO
26
Derivatives
23
Commodity Pool
22
Final Rules
22
NFA
20
FCMs
20
ISDA
19
CPO
19
EU
19
Federal Reserve
19
Prudential Regulation Authority
18
Banks
17
Commodities Exchange Act
17
Cross-Border Transactions
17
End-Users
16
Commodities
16
OCC
15
Chief Compliance Officers
15
Proposed Regulation
13
Enforcement Actions
13
FDIC
12
CEA
10
Investment Adviser
10
SEFs
9
Broker-Dealer
9
Financial Institutions
9
Fraud
9
IOSCO
9
National Futures Association
8
CPOs
8
CTA
8
Derivatives Clearing Organizations
8
Financial Markets
8
FINRA
8
Foreign Banks
8
Required Documentation
8
Swap Market
8
Title VII
7
Annual Reports
7
Counterparties
7
Cybersecurity
7
EMIR
7
Futures
7
Registration
7
Registration Requirement
7
Securities Exchange Act
6
Basel Committee
6
Brokers
6
Capital Requirements
6
CFPB
6
Disclosure Requirements
6
Exemptions
6
FHFA
6
Financial Conduct Authority (FCA)
6
Securities
6
Swap Data Repositories
6
UK
6
Volcker Rule
5
Australia
5
Banking Sector
5
Business Conduct Standards
5
ERISA
5
Financial Regulatory Reform
5
Forward Contracts
5
Natural Gas
5
OTC
5
Rating Agencies
5
RMBS
5
Uncleared Swaps
4
Anti-Money Laundering
4
Basel III
4
Class Action
4
CME
4
De Minimus Quantity Exemption
4
DF-Protocol
4
Enforcement
4
European Banking Authority
4
European Commission
4
European Securities and Markets Authority (ESMA)
4
Filing Deadlines
4
FinCEN
4
High Frequency Trading
4
Information Systems Security Program (ISSP)
4
Mandatory Clearing Requirements
4
Market Participants
4
Position Limits
4
Securities Fraud
4
Segregation Requirements
4
Swap Execution Facilities
4
Third-Party Service Provider
3
AIFMD
3
Audits
3
Block Trades
3
Bona Fide Hedging
3
Canada
3
CEOs
3
Corporate Officers
3
Covered Swap Entities (CSE)
3
Data Protection
3
DCMs
3
Eligible Contract Participant
3
False Claims Act (FCA)
3
Family Offices
3
Filing Requirements
3
Foreign Branches of U.S. Banks
3
FX Swaps
3
Hedge Funds
3
Insider Trading
3
Investment Funds
3
Investment Management
3
JOBS Act
3
Mortgage REITS
3
MSBSPs
3
NIST
3
Non-US Entities
3
OCIE
3
Pensions
3
Popular
3
Regulation Z
3
Regulatory Agenda
3
Retirement Plan
3
Rulemaking Process
3
SCOTUS
3
SIFMA
3
SPVs
3
Swap Clearing
3
Trade Options
3
U.S. Person
3
Valuation
2
Advanced Notice of Proposed Rulemaking (ANPRM)
2
Advisory Opinions
2
Affiliates
2
AIFM
2
Algorithmic Trading
2
ALJ
2
Alternative Investment Funds
2
Asset Management
2
Bank Holding Company
2
Bank Holding Company Act
2
Bank of America
2
Bitcoin
2
C-Suite Executives
2
Collateralized Loan Obligations
2
Comment Period
2
Commodity Broker
2
Commodity Futures Contracts
2
Conflicts of Interest
2
Covered Entities
2
Credit Ratings
2
Criminal Prosecution
2
Crowdfunding
2
Data Security
2
Dealers
2
Designated Contract Market
2
DMO
2
DOMA
2
Due Diligence
2
EDGAR
2
Electricity
2
Exemptive Orders
2
Farm Credit Administration
2
FATCA
2
Federal Register
2
Fiduciary Duty
2
Fitch
2
Foreign Exchanges
2
Forex
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
Industry Examinations
2
International Harmonization
2
Interpretive Opinions
2
Investment Company Act of 1940
2
Legacy Funds
2
Legal Entity Identifiers
2
Leverage Ratio
2
Life Insurance
2
MF Global
2
Money Market Funds
2
Moody's
2
Mortgages
2
Mutual Funds
2
Nonbank Firms
2
Pay Ratio
2
Pay-To-Play
2
Personally Identifiable Information
2
Preliminary Injunctions
2
Private Funds
2
Professional Conferences
2
Proposed Amendments
2
Proprietary Trading
2
Proxy Voting Guidelines
2
Public Comment
2
Regulation D
2
Regulation M
2
Reinsurance
2
Risk Assessment
2
Risk Management
2
Risk Mitigation
2
Securities Act of 1933
2
Securitization Vehicles
2
Segregated Funds
2
Short Sales
2
Stand-Alone SBSDs
2
Terrorism Insurance
2
Time Extensions
2
UCITS
2
Underwriting
2
Utilities Sector
2
Utility Special Entities
2
Whistleblowers
1
Advertising
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 of England
1
Bank of New York (BNY) Mellon
1
Bank Secrecy Act
1
BCBS
1
Beneficiaries
1
Bernie Madoff
1
Best Interest Contract Exemptions
1
Best Interest Standard
1
BlackRock
1
Board of Directors
1
Borrowers
1
BP
1
Breach Notification Rule
1
Business Development
1
C&DIs
1
Carbon Taxes
1
CBOE
1
Cease and Desist Orders
1
Central Counterparties
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 Interest
1
Community Banks
1
Compensation
1
Compensation & Benefits
1
Confidentiality Agreements
1
Conflict Mineral Rules
1
Congressional Budget Office
1
Contests & Promotions
1
Corporate Counsel
1
Corporate Executives
1
Credit Default Swaps
1
Custodian of Records
1
Custody Rule
1
Customer Funds Protection
1
Cyber Incident Reporting
1
Cyber Threats
1
Dark Pool
1
Data Breach Plans
1
Data Privacy
1
Data Storage Providers
1
Deadlines
1
Debt Restructuring
1
Default
1
Depository Institutions
1
Directors
1
Discounts
1
Dismissals
1
Dividends
1
DOJ
1
DOL
1
Durbin Amendment Rules
1
EBA
1
Emerging Growth Companies
1
Employee Benefits
1
Employee Training
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 Housing Act (FHA)
1
Fair Lending
1
False Statements
1
FBAR
1
FCPA
1
FDCPA
1
Fee Waivers
1
Fee-Shifting
1
Fees
1
FERC
1
Financial Actvities
1
Financial Products
1
Financial Services Authority
1
Financial Statements
1
Financial Transaction Tax
1
FinTech
1
Fixed Income Investments
1
Foreign Entities
1
Foreign Investment
1
Foreign Markets
1
Foreign Nationals
1
Foreign Subsidiaries
1
Form D Filing
1
Forum
1
Forum Selection
1
Forward Contract Exclusion
1
Fracking
1
Fraud-on-the-Market
1
Frozen Assets
1
FSMA
1
FTC
1
FTCA
1
Funding Requirements
1
Fundraisers
1
Future Commission Merchants
1
GAO
1
GMAC
1
Goldman Sachs
1
Government Shutdown
1
GSE
1
Guidance Update
1
Hackers
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
Income Taxes
1
Indictments
1
Information Technology
1
Infrastructure
1
Insurance Industry
1
Interim Rule
1
Intermediaries
1
Interpretive Rule
1
Interstate Commerce
1
Introducing Brokers
1
Investment Advisers Act of 1940
1
Investment Companies
1
Investment Firms
1
Investment Fraud
1
Investment Portfolios
1
Investor Protection
1
Investors
1
IRA
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
Layering
1
Leases
1
Legislative Agendas
1
Libor
1
Liquidity Risk Management Rule
1
Loan Modifications
1
Management Fees
1
Management Proposals
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
Mobile Device Management
1
Money Transfer
1
Morgan Stanley
1
MSRB
1
Municipal Bonds
1
NASAA
1
Netherlands
1
New Regulations
1
Non-Cleared Swaps
1
Non-Profits
1
NOPR
1
Notice Requirements
1
NPRM
1
NYSE
1
Obama Administration
1
OCR
1
Offshore Funds
1
OFR
1
Oil & Gas
1
Online Marketplace Lending
1
Ontario Securities Commission (OSC)
1
Ordinary Business Exception
1
Outsourcing
1
Parent Corporation
1
Pay-for-Performance
1
Payday Loans
1
Pending Legislation
1
Penny Stocks
1
Pension Funds
1
Peregrine Financial Group
1
Person of Significant Control (PSC Register)
1
Personal Data
1
Political Candidates
1
Portal
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
Push-Out Requirements
1
Qualified Mortgage Rule
1
RAISE Act
1
Registered Futures Association Membership
1
Regulation FD
1
Regulation S
1
Regulation SCI
1
Regulation SHO
1
Regulatory Oversight
1
REIT
1
Renewable Energy
1
Resale Exemption
1
Rescission
1
Resource Extraction
1
RESPA
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
Security Risk Assessments
1
Senior Managers Insurers Regime (SMIR)
1
Sensitive Business Information
1
Sequestration
1
Serious Fraud Office
1
Settlement
1
Shadow Banking
1
Shareholder Litigation
1
Shareholder Proposals
1
Shareholders
1
Small Business
1
Small Entity Compliance Guide
1
Social Media
1
Spoofing
1
Startups
1
Statutory Interpretation
1
Stock Options
1
Student Loans
1
Superannuation
1
Swap Agreements
1
Swing Pricing
1
Tax Evasion
1
Tax Shelters
1
Technical Standards
1
Threshold Requirements
1
TILA-RESPA Integrated Disclosure Rule (TRID)
1
Trade Market Abuse
1
Trading Platforms
1
Training Requirements
1
Transparency
1
Treasury Affiliates
1
TRIA
1
Trinity Wall Street
1
trueEX
1
Trust Preferred Securities
1
Trustees
1
Truth in Lending Act (TILA)
1
U.S. Treasury
1
Underwater Homeowners
1
Unions
1
Unsecured Debt
1
Variable Insurance
1
Wal-Mart
1
Wall Street
1
Wells Fargo
1
Whistleblower Protection Policies
1
Wind Power
1
Withdrawal
1
World Bank