Browse Related Topics For:

Swap Dealers

283
CFTC
203
Swaps
161
Major Swap Participants
108
Dodd-Frank
80
SEC
50
No-Action Relief
45
Compliance
41
Reporting Requirements
40
No-Action Letters
39
Margin Requirements
36
Cross-Border
34
Security-Based Swaps
31
Derivatives
29
Recordkeeping Requirements
28
DSIO
26
Final Rules
23
Commodity Pool
22
EU
22
NFA
21
Commodities Exchange Act
21
Cross-Border Transactions
21
FCMs
21
ISDA
20
Prudential Regulation Authority
19
Commodities
19
CPO
19
Federal Reserve
18
Banks
18
End-Users
17
Chief Compliance Officers
17
OCC
16
Enforcement Actions
15
Proposed Regulation
14
FDIC
13
Financial Markets
12
CEA
10
Fraud
10
Investment Adviser
10
IOSCO
10
Registration Requirement
10
SEFs
9
Broker-Dealer
9
CPOs
9
CTA
9
Derivatives Clearing Organizations
9
Financial Institutions
9
FINRA
9
National Futures Association
9
Swap Market
8
Counterparties
8
Cybersecurity
8
Disclosure Requirements
8
Foreign Banks
8
Required Documentation
8
Securities Exchange Act
8
Title VII
7
Annual Reports
7
Business Conduct Standards
7
CFPB
7
EMIR
7
Financial Conduct Authority (FCA)
7
Futures
7
Rating Agencies
7
Registration
7
RMBS
7
Securities
7
UK
7
Uncleared Swaps
6
Banking Sector
6
Basel Committee
6
Brokers
6
Capital Requirements
6
Exemptions
6
FHFA
6
Swap Data Repositories
6
Volcker Rule
5
Australia
5
De Minimus Quantity Exemption
5
ERISA
5
Financial Regulatory Reform
5
Forward Contracts
5
Natural Gas
5
OTC
5
Threshold Requirements
4
Anti-Money Laundering
4
Basel III
4
Class Action
4
CME
4
Covered Swap Entities (CSE)
4
DF-Protocol
4
Enforcement
4
European Banking Authority
4
European Commission
4
European Securities and Markets Authority (ESMA)
4
Filing Deadlines
4
Financial Sector
4
FinCEN
4
Fitch
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
SIFMA
4
Swap Execution Facilities
4
Third-Party Service Provider
4
U.S. Person
3
AIFMD
3
Audits
3
Bitcoin
3
Block Trades
3
Bona Fide Hedging
3
Canada
3
CEOs
3
Corporate Officers
3
Data Protection
3
DCMs
3
Eligible Contract Participant
3
False Claims Act (FCA)
3
Family Offices
3
Federal Register
3
Filing Requirements
3
Foreign Branches of U.S. Banks
3
Forex
3
FX Swaps
3
Hedge Funds
3
Insider Trading
3
Investment Funds
3
Investment Management
3
JOBS Act
3
Moody's
3
Mortgage REITS
3
Mortgages
3
MSBSPs
3
NIST
3
Non-US Entities
3
OCIE
3
Pensions
3
Popular
3
Proposed Amendments
3
Regulation Z
3
Regulatory Agenda
3
Retirement Plan
3
Risk Management
3
Risk Mitigation
3
Rulemaking Process
3
SCOTUS
3
SPVs
3
Swap Clearing
3
Time Extensions
3
Trade Options
3
Valuation
3
Whistleblowers
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
BCBS
2
C-Suite Executives
2
Central Counterparties
2
Civil Monetary Penalty
2
Collateralized Debt Obligations
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
De Minimis Claims
2
Dealers
2
Designated Contract Market
2
DMO
2
DOJ
2
DOMA
2
Due Diligence
2
EDGAR
2
Electricity
2
European Central Bank
2
Exemptive Orders
2
Farm Credit Administration
2
FATCA
2
Fiduciary Duty
2
Financial Statements
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
Industry Examinations
2
International Harmonization
2
Interpretive Opinions
2
Introducing Brokers
2
Investment Company Act of 1940
2
Legacy Funds
2
Legal Entity Identifiers
2
Leverage Ratio
2
Life Insurance
2
Memorandum of Understanding
2
MF Global
2
Money Market Funds
2
Money Transfer
2
Morgan Stanley
2
Mutual Funds
2
Non-Cleared Swaps
2
Nonbank Firms
2
Oil & Gas
2
Online Marketplace Lending
2
Pay Ratio
2
Pay-To-Play
2
Payday Loans
2
Personally Identifiable Information
2
Preliminary Injunctions
2
Private Funds
2
Professional Conferences
2
Proprietary Trading
2
Proxy Voting Guidelines
2
Public Comment
2
Regulation D
2
Regulation M
2
Reinsurance
2
Risk Assessment
2
S&P
2
Securities Act of 1933
2
Securitization Vehicles
2
Segregated Funds
2
Short Sales
2
Stand-Alone SBSDs
2
Structured Finance
2
Terrorism Insurance
2
UCITS
2
Underwriting
2
Utilities Sector
2
Utility Special Entities
2
Whistleblower Protection Policies
1
Advertising
1
Aggregation Rules
1
Airlines
1
Alternative Trading Systems
1
Amended Regulation
1
Amnesty International
1
Anti-Corruption
1
Appeals
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
Banking Regulators
1
Barclays
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
Business Development
1
C&DIs
1
Carbon Taxes
1
CashCall
1
CBOE
1
Cease and Desist Orders
1
China
1
Churches
1
Citigroup
1
Class Certification
1
Clawbacks
1
Clearing Agencies
1
Clearing Members
1
Climate Change
1
Closed-End Funds
1
CMBS
1
CME NYMEX
1
Collateral
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
Consumer Financial Products
1
Contests & Promotions
1
Corporate Counsel
1
Corporate Executives
1
Covered Bonds
1
Credit Default Swaps
1
Creditors
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 Collection
1
Data Privacy
1
Data Storage Providers
1
DBRS
1
Deadlines
1
Debt Restructuring
1
Default
1
Delaware General Corporation Law
1
Depository Institutions
1
Deutsche Bank
1
Digital Currency
1
Directors
1
Discounts
1
Dismissals
1
Distressed Debt
1
Distributed Ledger
1
Dividends
1
DOL
1
Durbin Amendment Rules
1
EBA
1
ECON
1
Electronic Trading
1
EMEA
1
Emerging Growth Companies
1
Employee Benefits
1
Employee Training
1
Energy
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
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
FBAR
1
FCPA
1
FDCPA
1
Federal Contractors
1
Federal Election Commission (FEC)
1
Federal Tort Claims Act (FTCA)
1
Fee Waivers
1
Fee-Shifting
1
Fees
1
FERC
1
Financial Actvities
1
Financial Products
1
Financial Services Authority
1
Financial Services Industry
1
Financial Transaction Tax
1
FinTech
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
FSMA
1
FTC
1
Funding Requirements
1
Fundraisers
1
Future Commission Merchants
1
GAO
1
GMAC
1
Goldman Sachs
1
Government Shutdown
1
GSE
1
Guaranty Claims
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
Hong Kong Securities and Futures Commission (HKSFC)
1
Hurricane Sandy
1
ICE
1
Identity Theft
1
Income Taxes
1
Indictments
1
Information Technology
1
Infrastructure
1
Innovative Technology
1
Insurance Industry
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 Companies
1
Investment Firms
1
Investment Fraud
1
Investment Portfolios
1
Investor Protection
1
Investors
1
IRA
1
IRS
1
ISDA Master Agreement
1
ISOs
1
ISS
1
iTraxx CDS indices
1
Joint and Several Liability
1
JPMorgan Chase
1
Judge Rakoff
1
Jurisdiction
1
KBRA
1
Keystone XL Pipeline
1
Layering
1
Leases
1
Legislative Agendas
1
Libor
1
Liquidity Risk Management Rule
1
Loan Modifications
1
Lobbying
1
Management Fees
1
Management Proposals
1
Managers
1
Margin Calls
1
Material Misstatements
1
Meals-Gifts-and Entertainment Rules
1
Mergers
1
Merrill Lynch
1
Mexico
1
MiFID
1
Mining
1
Misappropriation
1
Misrepresentation
1
Mobile Banking
1
Mobile Device Management
1
Mortgage Insurance
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
NYDFS
1
NYSE
1
Obama Administration
1
OCR
1
Offshore Funds
1
OFR
1
Ontario Securities Commission (OSC)
1
Ordinary Business Exception
1
Outsourcing
1
Packaged Retail And Insurance-Based Investment Products (PRIIPS)
1
Parent Corporation
1
Pay-for-Performance
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
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 Oversight
1
REIT
1
Renewable Energy
1
Resale Exemption
1
Rescission
1
Resource Extraction
1
RESPA
1
Restructuring
1
Risk-Based Approaches
1
RTO
1
RTS
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
Security Risk Assessments
1
Senior Managers Insurers Regime (SMIR)
1
Sensitive Business Information
1
Sequestration
1
Serious Fraud Office
1
Settlement
1
Severance Agreements
1
Shadow Banking
1
Shareholder Litigation
1
Shareholder Proposals
1
Shareholders
1
Shipping
1
Small Business
1
Small Entity Compliance Guide
1
Social Media
1
Solvency II
1
Spoofing
1
Sports
1
Startups
1
Statutory Interpretation
1
Stock Options
1
Student Loans
1
Superannuation
1
SuperPACs
1
Swap Agreements
1
Swing Pricing
1
Tax Evasion
1
Tax Shelters
1
Technical Standards
1
Telecommunications
1
Theft
1
TILA-RESPA Integrated Disclosure Rule (TRID)
1
Time-Barred Debt
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
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
Wells Fargo
1
Wind Power
1
Withdrawal
1
World Bank