Swap Dealer and SBSD Capital

Overview

This page provides information on the capital proposals of the U.S regulators (the CFTC, the SEC and the Prudential Regulators) applicable to to swap-dealers and security-based swap dealers. In the case of capital regulations applicable to banking institutions, the swap-focused capital requirements are more integrated into the general capital requirements than is the case for SEC- and CFTC-regulated institutions. For broader information about the capital requirements applicable to institutions regulated by the Prudential Regulators, including the relevant rules, see the separate page on Bank Capital Requirements. For general information as to the capital requirements applicable to broker-dealers generally, see the topic page on Broker-Dealer Capital Requirements.

nihal.patel@cwt.com's picture
Contributor Organization 
Contributor Title 
Special Counsel
james.mcdonnell@cwt.com's picture
Contributor Organization 
Contributor Title 
Associate

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Statutes and Rules