US Derivatives Regulation: Checklist for Swap Dealers and Security-Based Swap Dealers | Practical Law

US Derivatives Regulation: Checklist for Swap Dealers and Security-Based Swap Dealers | Practical Law

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US Derivatives Regulation: Checklist for Swap Dealers and Security-Based Swap Dealers

by Practical Law Finance
Maintained • USA (National/Federal)
A Checklist of rules applicable to CFTC-registered swap dealers (SDs) and SEC-registered security-based swap dealers (SBSDs) in the US. This checklist also covers requirements for major swap participants (MSPs) and major security-based swap participants (MSBSPs).