The Dodd-Frank Act established a novel, comprehensive framework for the regulation of over-the-counter (OTC) derivatives and the market participants who transact in these products. That regulatory framework, split primarily between the SEC and CFTC, has been substantially implemented by the CFTC, and security-based swap dealers and major security-based swap participants are now subject to registration and regulation by the SEC and security-based swaps will begin to be reported to trade repositories in November 2021.

At the Advanced Swaps & Other Derivatives 2021 Program, the distinguished faculty will provide a comprehensive overview of the evolving regulatory framework for OTC derivatives and derivatives market participants, and explain how the regulatory framework affects these products, the structure of the market for these products and market participants. The program will also cover documentation issues, and recent developments in tax, accounting and litigation related to OTC derivatives, as well as professional responsibility issues associated with derivatives.

Senior Counsel Paul Architzel will participate as a panelist in a session titled “Swap Execution Methods, SEFs, Give-up and Reporting,” on Tuesday, October 19 at 11:30 a.m. ET.