September 7, 2012
National Futures Association announces registration information webinar for swap FCMs, IBs, CPOs and CTAs
The Commodity Futures Trading Commission (CFTC) recently published its final rule definitions for "swap," "security-based swaps" and "security-based swap agreements." As a result, firms that are not currently registered with the CFTC, but are acting as an FCM, IB or CTA with respect to swaps subject to the jurisdiction of the CFTC, will be required to register. Firms acting as CPOs also are required to register, unless the firm properly claims an exclusion or exemption from registration via NFA's Electronic Exemption System.
To help these new swap FCMs, IBs, CPOs and CTAs understand the registration process, NFA will present a webinar on Thursday, September 20 at 11:00 a.m. EST.
During this 60-minute webinar, NFA staff will provide an in-depth discussion of the registration process for these new swap intermediaries, outline the regulatory requirements and answer participants' questions.
Speakers:
Yvette Christman, Senior Manager, Business Systems & Information Center
Shamika Carr, Manager, Audits
There is no charge to participate in the webinar; however, registration is required.
Click here to register.
The webinar also will be archived and available for viewing on demand on NFA's website beginning September 21.
