Summary of the Dodd-Frank Act: Swaps and Derivatives

Practical Law Practice Note Overview 3-502-8950 (Approx. 49 pages)

Summary of the Dodd-Frank Act: Swaps and Derivatives

by Practical Law Finance and Practical Law Corporate & Securities
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A Practice Note providing an overview of Title VII of the Dodd-Frank Act, as well as related rulemaking and other regulatory activity covering both non-security-based swaps (swaps) and security-based swaps (SBS).

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Resource ID 3-502-8950
Copyright © Thomson Reuters Canada Limited or its licensors. All rights reserved.
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Resource Type Practice note: overview
Jurisdiction
  • USA (National/Federal)
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Table of Contents
  1. 1Statutory Construction: Regulation of Derivatives Under the Dodd-Frank Act
  2. 2Types of Swaps Under Title VII
    1. Regulation of Non-Security-Based Swaps (Swaps)
    2. Regulation of Security-Based Swaps
    3. Swap vs. SBS: An Example
    4. Derivatives Excluded from Title VII Swaps Regulation
  3. 3Types of Swaps-Trading Entities Under Title VII
    1. Banks and BHCs
    2. Swap Dealers and Security-Based Swap Dealers
    3. Major Swap Participants and Major Security-Based Swap Participants
    4. Non-Financial Commercial End Users
    5. Commodity Pool Operators (CPOs) and Commodity Trading Advisors (CTAs)
  4. 4Requirements for Swap Dealers and MSPs
    1. Requirements for Security-Based Swap Dealers and MSBSPs
  5. 5Eligible Contract Participant (ECP) Requirement
  6. 6Swap Clearing and Trade Execution Under Title VII
  7. 7Dodd-Frank Swap Data Reporting and Recordkeeping Requirements
  8. 8Swap Margin Collateral Matters Under Dodd-Frank
  9. 9Commodity Position Limits
  10. 10Dodd-Frank and Related Risk Capital Requirements for Derivatives Exposures
    1. CFTC Regulatory Capital Rules for Swap Dealers and MSPs
    2. SEC SBS Risk Capital Rules
  11. 11Application of Securities Laws to Security-Based Swaps
  12. 12Bank Lending Limits Modified to Include Derivatives Exposure
    1. Single-Counterparty Credit Limits
  13. 13Swap Anti-Fraud Rules
    1. CFTC Guidance on Prohibition of Disruptive Swap Trading Practices Under Dodd-Frank
  14. 14No Termination Event
  15. 15The FDIC's Orderly Liquidation Authority Under Title II
  16. 16The Volcker Rule
    1. The Swaps Pushout Rule (Lincoln Rule)
  17. 17Cross-Border Application of Dodd-Frank Swaps Regulation