Book a Free Video Consultation!
If you have any questions or would like to speak to one of our team before enrolling feel free to book a free video call with us by clicking the button below, we will be delighted to meet you on Google Meet!
Swap Dealers
Individual Licence (EUR 60)
€60.00
Skip to product information
Swap Dealers
€60.00
Reliable shipping
Flexible returns
Buying for a team?
Choose 5 or 10 licences to purchase access for multiple learners at a reduced per-person rate. After purchase, eBSI will contact you to confirm the learner details and arrange course access for each participant.
Develop practical knowledge and confidence in Swap Dealers.
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). Upon completion of this course, the learner will be able to:
Why this course matters
This course turns the subject into practical, structured learning you can apply in real business and workplace situations. It is designed to help you move beyond definitions and understand how the ideas, tools and decisions covered in the course fit together.
What you will gain
- Build a practical understanding of the key concepts covered in Swap Dealers.
- Recognise where the topic applies in real workplace or business situations.
- Apply the methods and good-practice approaches covered in the course with greater confidence.
Who is this course for?
This course is suitable for professionals, managers, business owners and learners who want practical knowledge they can apply in real workplace situations.
Course at a glance
- Study time: approximately 1 hour.
- Format: self-paced online learning.
- Professional development: CPD course.
Course Description
Seat Time: 0.25hrs - Desc
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). Upon completion of this course, the learner will be able to:
- 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 Topics
T1. Swap Dealers: This topic will describe the purpose of swap dealers and security-based swap dealers, as well as the final rules issued by the Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC).
Continue your learning
Part of this learning pathway: Compliance & Regulatory
Course pathway: eBSI Banking Academy > Compliance & Regulatory > Swap Dealers
Explore more Compliance & Regulatory training or return to the eBSI Banking Academy.