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Is Your Swap Counterparty on This List to Register as Swap-dealers Under Dodd-Frank?

Insight Robin Powers Robin Powers · March 01, 2013

The following banks/dealers are the first to register as swap-dealers under the Dodd-Frank Act, which requires higher capital, collateral and trading standards.  The list, which is expected to grow, reflects companies that had at least $8 billion in swap-dealing business in October and had to register by the end of last year.

CFTC list of provisionally registered swap dealers:

Bank of America NA

Bank of Montreal

Bank of New York

Mellon Bank of Nova Scotia

Bank of Tokyo

Mitsubishi UFJ Ltd.

Barclays Bank Plc

BNP Paribas

Canadian Imperial Bank of Commerce

Citibank NA

Citigroup Energy Inc.

Citigroup Global Markets Inc.

Commerzbank AG

Commonwealth Bank of Australia

Credit Agricole

Corporate and Investment Bank

Credit Suisse International

DB Energy Trading LLC

Deutsche Bank AG

Goldman Sachs & Co.

Goldman Sachs Bank USA

Goldman Sachs Financial Markets LP

Goldman Sachs International

Goldman Sachs Mitsui Marine Derivative Products LP

Hongkong & Shanghai Banking Corp. Ltd.

HSBC Bank Plc


ING Capital Markets LLC

Intl Hanley LLC

J Aron & Co.

JPMorgan Securities LLC

JPMorgan Ventures Energy Corp.

JPMorgan Chase Bank

Macquarie Bank Ltd.

Macquarie Energy LLC

Merrill Lynch Capital Services Inc.

Merrill Lynch Commodities Inc.

Merrill Lynch Financial Markets Inc.

Merrill Lynch International

Merrill Lynch International Bank Ltd.

Mitsubishi UFJ Securities International Plc

Mizuho Capital Markets Corp.

Mizuho Securities USA Inc.

Morgan Stanley & Co. International Plc

Morgan Stanley & Co. LLC

Morgan Stanley Bank NA

Morgan Stanley Capital Group Inc.

Morgan Stanley Capital Services LLC

Morgan Stanley Derivative Products Inc.

National Australia Bank Ltd.

Natixis Newedge UK Financial Ltd.

Newedge USA LLC

Nomura Derivative Products Inc.

Nomura Global Financial Products Inc.

Nomura International Plc

Royal Bank of Canada

SMBC Capital Markets Inc.

Societe Generale SA

Standard Chartered Bank

State Street Bank And Trust Co.

The Royal Bank Of Scotland Plc

Toronto Dominion Bank


US Bank NA

Wells Fargo Bank NA

Westpac Banking Corp.


Next – What do you need to do if your swap counterparty is not listed? 


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