Swap Dealer (SD) Regulatory Obligations
NFA Members must comply with NFA rules and CFTC regulations. Visit the following pages to understand a swap dealer's (SD) regulatory obligations.
- Annual SD Requirements
- Books and Records
- Business Continuity and Disaster Recovery
- Filing Requirements
- Section 4s Review Process
- Third-Party Service Providers
The information presented here is intended to call attention to key compliance issues. This is not a complete list of requirements. For complete information, visit the NFA Rulebook and CFTC Regulations.