Understand the terms and guidelines for swap dealers and security-based swap dealers.
Bankers Academy
Updated Oct 29, 2024
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).