Swap Dealers
course

Swap Dealers

Understand the terms and guidelines for swap dealers and security-based swap dealers.

Bankers Academy
Updated Jul 11, 2025

What you'll learn

  • Understand the terms and guidelines for swap dealers and security-based swap dealers.
  • Abide by designated exemptions and exclusions.
  • Understand under which category the firm falls based on institution activities.
Course Description

This course provides information about “swap dealers” and “security-based swap dealers.” This course will use the definitions issued by the Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC).