swap dealer member list

Swap Dealer (SD) Registration.

The Commission has neither approved nor disapproved its content. See Section 761(a)(6) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), 15 U.S.C. The review period for the application was extended on December 4, 2012 and further extended on April 29, 2013 and August 27, 2013. BANK OF MONTREAL. #�.��V��۽�\e܎&� )�fFHU���R�Bv���5�0�k^�x�/�תP]��L[�����d�Wס>�$,��ZO��$�(T���2T�8'��|���#P�0QG@]0�Z���G�*_�� %���� AUSTRALIA AND NEW ZEALAND BANKING GROUP LTD. BANCO BILBAO VIZCAYA ARGENTARIA SA. On August 22, 2019, the Securities and Exchange Commission’s (SEC’s) long awaited Dodd-Frank Act security-based swap (SBS) capital, margin and segregation rules for SBS dealers (SBSD) were published in the Federal Register. However, some market participants temporarily may delay counting a limited type of security-based swap positions against the The compliance date for the Commission’s registration rules for SBS Entities is the registration compliance date,

It is not a rule, regulation, or statement of the Securities and Exchange Commission (“Commission”).

• A swap dealer enters into swaps as a principal; a person entering into swaps as agent would be required to register in another capacity (e.g., as an FCM), depending on the nature of the person’s activity. Effective January 31, 2020, individuals acting as associated persons of an SD will be required to complete If a statutory disqualification exists, the SD may elect to file a Statutory Disqualification Form via When a person becomes no longer able to satisfy the Only security-based swap positions held on or after August 6, 2021, will count towards determining a person’s status as a major security-based swap participant. BANK OF AMERICA MERRILL LYNCH INTERNATIONAL DAC.

This list is current as of June 4, 2020. Intermediaries include: Futures Commission Merchants (FCMs) A list of provisionally registered swap dealers is listed below. BANK OF NEW YORK MELLON … 2 0 obj This guidance, like all staff guidance, has no legal force or effect: it does not alter or amend applicable law, and it creates no new or additional obligations for any person.Sections 3(a)(71) and 3(a)(67) of the Securities Exchange Act of 1934 (the “Exchange Act”) define, respectively, the terms “security-based swap dealer” and “major security-based swap participant.”  These statutory provisions, in turn, require the Commission to define certain thresholds used in the definitions. A swap dealer (SD) is an entity that holds itself out as a dealer in swaps; makes a market in swaps; regularly enters into swaps with counterparties as an ordinary course of business for its own account; or engages in any activity causing the entity to be commonly known in the trade as a dealer … 33: INFX SDR, Inc. Withdrawn: as of: 05/27/2014: INFX SDR submitted an application for SDR registration on June 8, 2012. Only security-based swap positions connected with dealing activity engaged in on or after August 6, 2021, will count toward determining a person’s status as a security-based swap dealer. History. stream ISDA has over 925 member institutions from 75 countries. A n “intermediary” is a person or firm who acts on behalf of another person in connection with futures trading. See 77 FR 2708 (Jan. 19, 2012). yA swap dealer must also become an NFA member yThe NFA has estimated that the annual membership dues for a swap dealer shall range from $125,000 to $1,000,000 yThis dues structure is intended to permit the NFA to recover its swap dealer oversight costs and support full staffing to carry out the NFA’s new regulatory responsibilities 3 0 obj As noted above, the counting date is August 6, 2021. the CFTC as a swap dealer or major swap partici-pant (Form SBSE-A).

The review period for the application was extended on December 4, 2012 and further extended on April 29, 2013 and August 27, 2013. endobj BANCO SANTANDER SA. Intermediary Registration Registration of Intermediaries. 4 0 obj <>

34-87780. <>/Font<>/ProcSet[/PDF/Text/ImageB/ImageC/ImageI] >>/MediaBox[ 0 0 612 792] /Contents 4 0 R/Group<>/Tabs/S/StructParents 0>> (1) The broker or dealer is registered as a security-based swap dealer or major security-based swap participant pursuant to section 15F of the Act (15 U.S.C. Swap Dealer (SD) In 2012 the CFTC delegated the registration of Swap Dealers to the National Futures Association (“NFA”). The Commission consists of five Commissioners appointed by the President, with the advice and consent of the Senate, to serve staggered five-year terms. This guidance represents the views of the staff of the Division of Trading and Markets. For example, entities are exempt from the SD registration on the basis of de minimis activity—the aggregate gross notional amount of the swaps that an entity enters into over the prior 12 months in connection with dealing activities. See Currently, there are no major swap participant (MSP) Members. Final Rule: 77 FR 2613 // PDF Version 1/19/2012 17 CFR Parts 3, 23 and 170 Registration of Swap Dealers and Major Swap Participants Effective Date: March 19, 2012. ISDA was initially created in 1985 as the International Swap Dealers Association and subsequently changed its name switching “Swap Dealers” to “Swaps and Derivatives”. The registration compliance date is the compliance date for several rules applicable to SBS Entities. BANK OF AMERICA NA. z`,���" E�=�;���o���2��}ę���ǽ��5n��+>X/Gu��-\9��6_�j�5Q�#i��j�f�$�RWS�h������is�������n�b��Q�q��y)�ZG����VJU��`YT%VW��o|��=��D_�����b�0^=��1�/���T`n��c� �02Ug���g��-��Y}��u�+\'J�¸xO��4���?���L

78 o-10); (2) The broker or dealer is registered as a swap dealer or major swap participant pursuant to section 4s of the Commodity Exchange Act and chapter I of this title;