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Swap Dealers and MSPs; Clerical or Ministerial Employees (Fed. Reg. Version; Proposed Rule)

The CFTC is proposing to amend its regulations ("Proposal") to clarify certain responsibilities of a swap dealer ("SD") or major swap participant ("MSP") regarding its employees who solicit, accept or effect swaps in a clerical or ministerial capacity.

Due Date: Comments must be received on or before June 7, 2013.

See: 78 FR 20848 (links externally to CFTC website).

Tags

Regulated Activities
Employee Matters
Sub-Activity
Clericals and Employees Exempt from Registration
Regulated Entities
Swap Dealers / SBSDs
Regulated Products
Swaps / SBS
Body of Law
CEA Regulation
Jurisdiction
US - Federal