Swaps
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November 2010
Most Cited Entries
- Derivatives Clearing Organization General Provisions and Core Principles
11/08/2011; 19 citations - Registration of Swap Dealers and Major Swap Participants
11/23/2010; 19 citations - Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission Merchants
04/03/2012; 16 citations - Adaptation of Regulations to Incorporate Swaps
06/07/2011; 12 citations - Capital Requirements of Swap Dealers and Major Swap Participants
05/12/2011; 8 citations - Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management
04/09/2012; 7 citations - Protection of Collateral of Counterparties to Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity Broker Bankruptcy
12/03/2010; 7 citations - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions
02/07/2012; 6 citations - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions
06/09/2011; 5 citations - Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants
09/11/2012; 4 citations - Clearing Requirement Determination Under Section 2(h) of the CEA
08/07/2012; 3 citations - End-User Exception to the Clearing Requirement for Swaps
07/19/2012; 3 citations - Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations
11/14/2012; 1 citation - Adaptation of Regulations To Incorporate Swaps
11/02/2012; 1 citation - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA
09/20/2011; 1 citation
Agencies Using this Topic
Entry Types for Topic
Related Topics
- Commodity futures (21)
- Reporting and recordkeeping requirements (21)
- Conflicts of interests (14)
- Brokers (12)
- Swap dealers (11)
- Major swap participants (11)
- Clearing (9)
- Consumer protection (9)
- Business and industry (8)
- Definitions (7)
- Designated contract markets (7)
- Authority delegations (government agencies) (6)
- Registered entities (5)
- Minimum financial and reporting requirements (5)
- Risk management (4)
- Reporting requirements (4)
- Swap execution facilities (4)
- Organizations and functions (government agencies) (4)
- Antitrust (3)
- Directors (3)
- Bankruptcy (3)
- Committees (3)
- Agriculture (3)
- Conduct standards (3)
- Block transaction (3)
- Customer protection (3)
- Agricultural commodity (3)
- Commodity pool operators (3)
- Commodity trading advisors (3)
- Transactions off the centralized market (3)
- Advertising (2)
- Registration (2)
- Cooperatives (2)
- Special calls (2)
- Bulk transfers (2)
- Risk assessment (2)
- Customer's money (2)
- Foreign exchange (2)
- Trading practices (2)
- Systemic market event (2)
- Freedom of information (2)
- Principal-to-principal (2)
- Securities and property (2)
- Registration application (2)
- Grandfather relief order (2)
- Security futures products (2)
- Recordkeeping requirements (2)
- Electronic trading facility (2)
- Eligible commercial entities (2)
- Futures commission merchants (2)
- Eligible contract participants (2)
- Retail foreign exchange dealers (2)
- Confidential business information (2)
- Derivatives clearing organizations (2)
- Participant and product eligibility (2)
- Federal financial regulatory authority (2)
- Prohibited transactions in retail foreign exchange (2)
- Currency (1)
- Licensing (1)
- Application form (1)
- System safeguards (1)
- Treatment of funds (1)
- Associated persons (1)
- Enforcement authority (1)
- Settlement procedures (1)
- Default rules and procedures (1)
- Capital and margin requirements (1)
- Administrative practice and procedure (1)
