Margin for Swaps and Security-Based Swaps

Overview

The "Prudential Regulators" have established the margin requirements for uncleared swaps and security-based swaps entered into by bank; the CFTC has established the margin requirements for uncleared swaps entered into by other types of swap dealers; and the SEC has proposed margin requirements for security-based swaps entered into by security-based swap dealers other than banks. FINRA has adopted a rule that governs the collection by broker-dealers of margin on credit default swaps.

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Special Counsel

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CEA Sections and CFTC Rules

SEA and FINRA Rules