Title

CFTC Proposes to Register and Regulate Swap Dealers and Major Swap Participants
Client Memorandum

Created date

11/30/2010

On November 10, 2010, the CFTC proposed rules concerning swap dealers and major swap participants (“swaps entities”) under the Dodd-Frank Act. The rules address entity registration, conflicts of interest involving research and clearing activities, chief compliance officer designation and risk management, reporting and operational requirements.