Definitions

Further definition of Swap Dealer, Major Swap Participant, Security-Based Swap Dealer, and Major Security-Based Swap Participant

The CFTC and SEC issued final rules and interpretive guidance to implement the Dodd-Frank Wall Street Reform and Consumer Protection Act to further define the terms “swap dealer,” “major swap participant,” “security-based swap dealer,” “major security-based swap participant,” and “eligible contract participant.”

Information regarding these further definitions are provided below.

Related Federal Register Releases

Final Rule: 84 FR 12450 // PDF Version
4/1/2019
17 CFR Part 1
De Minimis Exception to the Swap Dealer Definition--Swaps Entered Into by Insured Depository Institutions in Connection With Loans to Customers
Effective Date: Monday, April 1, 2019

Final Rule:  83 FR 56666 // PDF Version
11/13/2018
17 CFR Part 1
De Minimis Exception to the Swap Dealer Definition

Effective Date: Tuesday, November 13, 2018

Proposed Rule: 83 FR 27444 // PDF Version
6/12/2018
17 CFR Part 1
De Minimis Exception to the Swap Dealer Definition
Comment File - Closing Date: 8/13/2018

Correction: 77 FR 39626 // PDF Version
7/5/2012
17 CFR Part 1
Further Definition of ``Swap Dealer,'' ``Security-Based Swap Dealer,'' ``Major Swap Participant,'' ``Major Security-Based Swap Participant'' and ``Eligible Contract Participant''; Correction


See Also:

Final Rule: 77 FR 30596 // PDF Version
5/23/2012
17 CFR Part 240
Further Definition of ‘‘Swap Dealer,’’ ‘‘Security-Based Swap Dealer,’’ ‘‘Major Swap Participant,’’ ‘‘Major Security-Based Swap Participant’’ and ‘‘Eligible Contract Participant’’

Effective Date: July 23, 2012
Comment File – Closing Date: 7/23/2012

Proposed Rule: 75 FR 80174 // PDF Version
12/21/2010
Commodity Futures Trading Commission 17 CFR Part 1 Securities and Exchange Commission 17 CFR Part 240 Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant"
Comment File -  Extended Date: 6/3/2011

Advance Notice of Proposed Rulemaking: 75 FR 51429 // PDF Version
8/20/2010
Commodity Futures Trading Commission 17 CFR Part 1 Securities and Exchange Commission 17 CFR Part 240 Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act
Comment File - Closing Date: 9/20/2010

Additional Information

Fact Sheet:  Adopting Permanent $8 Billion De Minimis Exception to the Swap Dealer Definition

Event:  CFTC to Hold an Open Commission Meeting on November 5

Swap Dealer De Minimis Exception Final Staff Report, August 15 2016

Swap Dealer De Minimis Exception Preliminary Report, November 18, 2015

Fact Sheet: Final Rules Regarding Further Defining “Swap Dealer,” “Major Swap Participant” and “Eligible Contract Participant”

Q&A: Final Rules Regarding Further Defining “Swap Dealer,” “Major Swap Participant” and “Eligible Contract Participant”

Event: CFTC to Hold Open Meeting to Consider Two Final Rules

Event: CFTC and SEC Staff Public Roundtable Discussion on Proposed Dealer and Major Participant Definitions under Dodd-Frank Act

Fact Sheet: Proposed Rules Further Defining “Swap Dealer,” “Major Swap Participant” and “Eligible Contract Participant”

Q&A: Further Defining “Swap Dealer,” “Major Swap Participant” and “Eligible Contract Participant.”

Event: Open Meeting on Sixth Series of Proposed Rules under the Dodd-Frank Act

Date
SUBMISSION
03/12/2012
AFR March 12 2012 Meeting Agenda_1433 PDF Image
From External Meeting on 3/12/2012
 
03/12/2012
AFR March 12 2012 Handout 2012_03_16_12_03_16_1433 PDF Image
From External Meeting on 3/12/2012
 
03/09/2012
EIB DFA Presentation_1675 PDF Image
From External Meeting on 3/9/2012
 
02/29/2012
BCSE 1 Page Swap Dealer Definition_1444 PDF Image
From External Meeting on 2/29/2012
 
02/29/2012
BCSE 1 Page Product Definition_1444 PDF Image
From External Meeting on 2/29/2012
 
02/29/2012
Proposed CFTC Preamble Language_BCSE_1444 PDF Image
From External Meeting on 2/29/2012
 
02/29/2012
About the BCSE_1444 PDF Image
From External Meeting on 2/29/2012
 
11/02/2011
occchart_1133 PDF Image
From External Meeting on 11/2/2011
 
11/02/2011
WGCEF Swap Dealer Tear Sheet_(37691667)_(5)_1133 PDF Image
From External Meeting on 11/2/2011
 
11/02/2011
WGCEF MSP One Pager 10.30.11_(37703694)_(3)_1133 PDF Image
From External Meeting on 11/2/2011
 
10/12/2011
KfW Comment Oct 12_1083 PDF Image
From External Meeting on 10/12/2011
 
10/05/2011
Documents from 10/5 meeting PDF Image
JP Morgan, From External Meeting on 10/5/2011
 
10/05/2011
NRU CFC Comments_1084 PDF Image
From External Meeting on 10/5/2011
 
10/04/2011
The Church Alliance Follow Up to Meeting on September 9 at CFTC PDF Image
Church Alliance, From External Meeting on 10/4/2011
 
10/04/2011
Church Plans – Definitions and Legislative History PDF Image
Church Alliance, From External Meeting on 10/4/2011
 
10/04/2011
Church Alliance Cover Letter PDF Image
Church Alliance, From External Meeting on 10/4/2011
 
10/04/2011
Special Entity Definition – Opt-In for Church Plans PDF Image
Church Group, From External Meeting on 10/4/2011
 
09/09/2011
Proposed Agenda for CFTC Meeting PDF Image
Church Alliance, From External Meeting on 9/9/2011
 
08/08/2011
CFTC meeting notes PDF Image
Regions Bank / M&T; Bank / Fifth Third Bank, From External Meeting on 8/8/2011
 
06/22/2011
BG Group Meeting with CFTC Staff PDF Image
BG Group, From External Meeting on 6/22/2011
 
05/20/2011
 
05/11/2011
Gavilon Handout 1 PDF Image
Gavilon, From External Meeting on 5/11/2011
 
05/11/2011
Gavilon Handout 2 PDF Image
Gavilon, From External Meeting on 5/11/2011
 
05/04/2011
Re: CFTC Legal Authority over Interaffiliate Transactions PDF Image
Prudential, From External Meeting on 5/4/2011
 
05/04/2011
Comment Letter with respect to the ANPRM re Definitions PDF Image
Prudential, From External Meeting on 5/4/2011
 
04/28/2011
Staff Meeting Agenda PDF Image
Working Group of Commercial Energy Firms, From External Meeting on 4/28/2011
 
04/22/2011
OTC Swap Market Rulemaking PDF Image
Riverside Risk Advisors, From External Meeting on 4/22/2011
 
04/15/2011
Goldman Sachs Meeting Notes 2011 04 15_702 PDF Image
From External Meeting on 4/15/2011
 
04/12/2011
SDs and MSPs Should Not be Treated as Identical Twins PDF Image
BlackRock, From External Meeting on 4/12/2011
 
04/11/2011
Proposed Framework for Swap Dealer Registration and Regulation PDF Image
Institute of International Bankers, From External Meeting on 4/11/2011
 
04/08/2011
April 11 Mtg. Summary with Rabobank PDF Image
Rabobank Nederland, From External Meeting on 4/8/2011
 
04/07/2011
Re: Determination of Foreign Exchange Swaps and Forwards - Request for comment PDF Image
Brian Cox, MFX Solutions, Inc., From External Meeting on 4/7/2011
 
04/07/2011
RE: MFX Solutions, Inc. PDF Image
Brian Cox, MFX Solutions, Inc., From External Meeting on 4/7/2011
 
04/07/2011
MFX: What we do PDF Image
MFX Solutions, Inc., From External Meeting on 4/7/2011
 
03/23/2011
Next Era Energy Resources Presentation PDF Image
Next Era Energy Resources, From External Meeting on 3/23/2011
 
03/23/2011
Next Era Presentation PDF Image
Next Era, From External Meeting on 3/23/2011
 
03/21/2011
Agenda - Meeting on Swap Dealer Definition PDF Image
Northland Energy Trading LLC, From External Meeting on 3/21/2011
 
02/16/2011
 
01/19/2011
RE: Proposed Meeting with Not-For-Profit Energy End User Coalition PDF Image
NFP Energy, From External Meeting on 1/19/2011
 
01/14/2011
Summary of Foreign Banks Meeting PDF Image
Foreign Banks, From External Meeting on 1/14/2011
 
01/14/2011
Summary of Meeting re Edge Act Banks PDF Image
Edge Act Corporations, From External Meeting on 1/14/2011
 
01/13/2011
National Rural Utilities Cooperative Finance Corporation Views on Implementation of the Dodd-Frank Act PDF Image
National Rural Utilities Cooperative Finance Corporation, From External Meeting on 1/13/2011
 
01/13/2011
Implementation of Dodd-Frank 2011 PDF Image
National Rural Utilities Cooperative Finance Corporation, From External Meeting on 1/13/2011
 
01/12/2011
NARUC Paper Presented at 1-12 meeting_422 PDF Image
NARUC, From External Meeting on 1/12/2011
 
12/16/2010
Eliason Comment Spreadsheet_415 PDF Image
Ron Eliason, From External Meeting on 12/16/2010
 
12/16/2010
Comment from Eliason_415 PDF Image
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B&F; Capital Markets, Inc.
 
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Jon Hixson
 
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Natural Gas Supply Association and the National Corn Growers Association
 
11/15/2010
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Securities Industry and Financial Markets Association
 
11/08/2010
 
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Tudor Investment Corp
 
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ACLI, From External Meeting on 11/8/2010
 
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NextEra Energy Resources
 
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NextEra Energy Resources, From External Meeting on 10/21/2010
 
10/12/2010
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Stable Value Investment Association
 
10/12/2010
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Stable Value Investment Association (SVIA), From External Meeting on 10/12/2010
 
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National Grain and Feed Association
 
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CLS Group, From External Meeting on 10/8/2010
 
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Commodity Markets Council (CMC), From External Meeting on 9/30/2010
 
09/29/2010
Natural Gas Supply Association PDF Image
Natural Gas Supply Association
 
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Natural Gas Supply Association (NGSA), From External Meeting on 9/29/2010
 
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Coalition for Derivatives End Users, From External Meeting on 9/28/2010
 
09/23/2010
Definitions of Swaps PDF Image
Trend Exchange
 
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Assured Guaranty, From External Meeting on 9/22/2010
 
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American Benefits Council, From External Meeting on 9/17/2010
 
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ISDA, From External Meeting on 9/16/2010
 
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Morgan Stanley, From External Meeting on 9/15/2010
 
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NFP Energy End User Coalition, From External Meeting on 9/15/2010
 
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Dairy Farmer/Co-op Hedging
 
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National Council of Farmer Cooperatives (NCFC), From External Meeting on 9/14/2010
 
09/14/2010
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National Council of Farmer Cooperatives (NCFC), From External Meeting on 9/14/2010
 
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National Council of Farmer Cooperatives (NCFC), From External Meeting on 9/14/2010
 
09/14/2010
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National Council of Farmer Cooperatives (NCFC), From External Meeting on 9/14/2010
 
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National Council of Farmer Cooperatives (NCFC), From External Meeting on 9/14/2010
 
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National Council of Farmer Cooperatives (NCFC), From External Meeting on 9/14/2010
 
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Argus Oil Market Regulation Summit 2010
 
08/25/2010
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Working group of Commercial Energy Firms
 
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SEC/CFTC and ISDA/SIFMA