Course Description

Seat Time: 0.25hrs - Desc

This course provides information about “swap dealers” and “security-based swap dealers.” This course will use the definitions issued by the Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC). Upon completion of this course, the learner will be able to:

• Understand the terms and guidelines for swap dealers and security-based swap dealers.
• Abide by designated exemptions and exclusions.
• Understand under which category the firm falls based on institution activities.

Course Topics

T1. Swap Dealers: This topic will describe the purpose of swap dealers and security-based swap dealers, as well as the final rules issued by the Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC).