Navigating the Requirements for Derivatives Trading: Title VII of Dodd-Frank

PLI Webcast

03/12/2013 01:00 p.m. - 02:00 p.m. EDT

Corporate Finance | Capital Markets, Derivatives + Commodities, Financial Services, and Finance

James Schwartz

James Schwartz


Joseph Marano
(212) 336-4316

For presentation materials, click here.

Now that the rulemaking relating to Title VII of the Dodd-Frank Act has been nearly finalized, market participants are preparing themselves to function in a very different derivatives market. Title VII imposes a comprehensive regulatory framework for derivatives, and requires both end-users and dealers to adopt new compliance and operating procedures.

Topics Include:

  • Identifying swaps and security-based swaps;
  • Swap dealer and major swap participant determinations;
  • Qualifying as an end-user;
  • Commodity pool operators and CTAs;
  • Action Items for end-users;
  • CPO/CTA registration;
  • Clearing and reporting requirements; and
  • Extraterritorial issues.


  • Anna T. Pinedo, Morrison & Foerster LLP
  • James Schwartz, Morrison & Foerster LLP

PLI will provide CLE Credit.

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