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. 

In addition to the regulatory requirements listed above, here is some helpful information for SDs.
If you are a new Member, review the New Member Orientation section of the website. New Member Orientation

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.