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Final Rule: Dual and Multiple Associations of Persons Associated With Swap Dealers, Major Swap Participants and Other Commission Registrants

Final Rule: Dual and Multiple Associations of Persons Associated With Swap Dealers, Major Swap Participants and Other Commission Registrants

RIN: 3038–AD66

Agency/Agencies: CFTC

Federal Register Publication Date: 04/08/2013

Summary: The CFTC adopted regulations to make clear that each swap dealer (SD), major swap participant (MSP), and other CFTC registrant with whom an associated person (AP) is associated is required to supervise the AP and is jointly and severally responsible for the activities of the AP with respect to customers common to it and any other SD, MSP or other CFTC registrant.

Ianthe Zabel
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