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Final Rule: Swap Dealers and Major Swap Participants; Clerical or Ministerial Employees

Final Rule: Swap Dealers and Major Swap Participants; Clerical or Ministerial Employees

RIN: 3038–AE00

Agency/Agencies: CFTC

Federal Register Publication Date: 10/28/2013

Summary: The CFTC adopted an amendment to its regulations to clarify certain responsibilities of a swap dealer or major swap participant regarding its employees who solicit, accept or effect swaps in a clerical or ministerial capacity.  

Ianthe Zabel
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