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Thursday, January 3, 2013

Firms Begin Registration as Swap Dealers

More than 60 firms and affiliates from abroad and domestic institutions have register as swap dealers (SDs) with U.S. regulators. The Dodd-Frank Act mandates increased oversight of swap dealers. Entities that passed an $8 billion annual dealing threshold in October were required to register by Dec. 31.

A registry from the National Futures Association, an industry group that oversees derivatives markets with the CFTC, listed 65 entities that were “provisionally registered” dealers as of Dec. 31. Financial firms dominate the list.

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