In 2012 the CFTC delegated the registration of Swap Dealers to the National Futures Association (“NFA”). See 77 FR 2708 (Jan. 19, 2012). For details regarding the registration of Swap Dealers, please visit the NFA website link here: https://www.nfa.futures.org/registration-membership/who-has-to-register/sd-msp.html
Registered Swap Dealers
A list of registered swap dealers is listed below. This list is current as of August 16, 2024.
| REGISTERED SWAP DEALERS |
|---|
| AUSTRALIA AND NEW ZEALAND BANKING GROUP LTD |
| BANCO BILBAO VIZCAYA ARGENTARIA SA |
| BANCO SANTANDER SA |
| BANK OF AMERICA EUROPE DAC |
| BANK OF AMERICA NA |
| BANK OF MONTREAL |
| BANK OF NEW YORK MELLON THE |
| BANK OF NOVA SCOTIA THE |
| BARCLAYS BANK IRELAND PLC |
| BARCLAYS BANK PLC |
| BNP PARIBAS SA |
| BOFA SECURITIES EUROPE SA |
| BOFA SECURITIES JAPAN CO LTD |
| BP ENERGY COMPANY |
| CANADIAN IMPERIAL BANK OF COMMERCE |
| CAPITAL ONE NATIONAL ASSOCIATION |
| CARGILL INCORPORATED |
| CASA DE BOLSA FINAMEX SAB DE CV |
| CITADEL SECURITIES SWAP DEALER LLC |
| CITIBANK N A |
| CITIGROUP ENERGY INC |
| CITIGROUP GLOBAL MARKETS EUROPE AG |
| CITIGROUP GLOBAL MARKETS INC |
| CITIGROUP GLOBAL MARKETS LIMITED |
| COMMERZBANK AG |
| COMMONWEALTH BANK OF AUSTRALIA |
| COOPERATIEVE RABOBANK UA |
| CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK |
| CREDIT SUISSE INTERNATIONAL |
| DANSKE BANK AS |
| DARBY SWAP TRADING LLC |
| DEUTSCHE BANK AG |
| FALCONX BRAVO INC |
| FIFTH THIRD BANK NATIONAL ASSOCIATION |
| GFI SECURITIES LIMITED |
| GOLDMAN SACHS & CO LLC |
| GOLDMAN SACHS BANK EUROPE SE |
| GOLDMAN SACHS BANK USA |
| GOLDMAN SACHS FINANCIAL MARKETS LP |
| GOLDMAN SACHS FINANCIAL MARKETS PTY LTD |
| GOLDMAN SACHS INTERNATIONAL |
| GOLDMAN SACHS JAPAN CO LTD |
| GOLDMAN SACHS MEXICO CASA DE BOLSA SA DE CV |
| GOLDMAN SACHS MITSUI MARINE DERIVATIVE PRODUCTS LP |
| GOLDMAN SACHS PARIS INC ET CIE |
| HSBC BANK PLC |
| HSBC BANK USA NA |
| ICBC STANDARD BANK PLC |
| ING CAPITAL MARKETS LLC |
| INTESA SANPAOLO SPA |
| J ARON & COMPANY LLC |
| J ARON & COMPANY SINGAPORE PTE |
| JB DRAX HONORE UK LTD |
| JEFFERIES FINANCIAL SERVICES, INC. |
| JP MORGAN SECURITIES LLC |
| JP MORGAN SECURITIES PLC |
| JPMORGAN CHASE BANK NATIONAL ASSOCIATION |
| KEYBANK NATIONAL ASSOCIATION |
| LLOYDS BANK CORPORATE MARKETS PLC |
| MACQUARIE BANK LIMITED |
| MAKOR SECURITIES LONDON LTD |
| MERRILL LYNCH CAPITAL SERVICES INC |
| MERRILL LYNCH COMMODITIES INC |
| MERRILL LYNCH INTERNATIONAL |
| MIZUHO CAPITAL MARKETS LLC |
| MORGAN STANLEY & CO INTERNATIONAL PLC |
| MORGAN STANLEY & CO LLC |
| MORGAN STANLEY BANK INTERNATIONAL LIMITED |
| MORGAN STANLEY BANK NA |
| MORGAN STANLEY CAPITAL GROUP INC |
| MORGAN STANLEY CAPITAL GROUP SINGAPORE PTE |
| MORGAN STANLEY CAPITAL SERVICES LLC |
| MORGAN STANLEY EUROPE SE |
| MORGAN STANLEY MEXICO CASA DE BOLSA SA DE CV |
| MORGAN STANLEY MUFG SECURITIES CO LTD |
| MUFG BANK LTD |
| MUFG SECURITIES EMEA PLC |
| NATIONAL AUSTRALIA BANK LIMITED |
| NATIONAL BANK OF CANADA |
| NATIXIS |
| NATWEST MARKETS PLC |
| NOMURA GLOBAL FINANCIAL PRODUCTS INC |
| NOMURA INTERNATIONAL PLC |
| NORDEA BANK ABP |
| NORTHERN TRUST COMPANY THE |
| PNC BANK NATIONAL ASSOCIATION |
| RJ OBRIEN ASSOCIATES LLC |
| ROYAL BANK OF CANADA |
| SHELL TRADING RISK MANAGEMENT LLC |
| SKANDINAVISKA ENSKILDA BANKEN AB PUBL |
| SMBC CAPITAL MARKETS INC |
| SOCIETE GENERALE S A |
| STANDARD CHARTERED BANK |
| STATE STREET BANK AND TRUST COMPANY |
| STONEX MARKETS LLC |
| TFS DERIVATIVES LTD |
| TORONTO DOMINION BANK THE |
| TP ICAP BROKING LIMITED |
| TRUIST BANK |
| UBS AG |
| UNICREDIT BANK AG |
| US BANK NA |
| WEDBUSH SECURITIES INC |
| WELLS FARGO BANK NATIONAL ASSOCIATION |
| WESTPAC BANKING CORPORATION |
| XP INVESTMENTS US LLC |
In addition, Swap Dealers can find other resources on the Market Participants Division (“MPD”) webpage, link here: https://www.cftc.gov/About/CFTCOrganization/MPD
MPD resources include:
- Advisories;
- Guidance;
- Staff No Action Letters;
- Proposed Rules;
- Final Rules;
- Examination Priorities; and
- Contact information regarding Senior Staff