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CFTC Issues Preliminary Report on Swap Dealer
30 November 2015
View Client Update
The Division of Swap Dealer and Intermediary Oversight of the CFTC has issued a Preliminary Report regarding the
exception from the swap dealer registration requirement.
The Preliminary Report discusses, among other things, the potential effects of raising or lowering the
threshold and several possible alternative approaches to the
exception, and provides CFTC staff’s preliminary analysis of the swap data that has been reported to swap data repositories (“SDRs”) since swap dealers began reporting to SDRs in December 2012.
CFTC staff is seeking public comment on the Preliminary Report and will publish a final report for public comment once it considers those preliminary comments. Comments must be received on or before January 19, 2016.
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