Derivatives Dealers Act of 1995

Summary

TABLE OF CONTENTS: Title I: Derivatives Dealers Title II: Broker-Dealer Oversight Reforms Derivatives Dealers Act of 1995 - Title I: Derivatives Dealers - Amends the Securities Exchange Act of 1934 to set forth registration requirements and procedures for derivatives dealers. Directs the Securities and Exchange Commission (SEC) to adopt rules with respect to dealer financial responsibility and mandatory annual reports. Grants the SEC enforcement powers. Mandates securities association membership for derivatives dealers. Title II: Broker-Dealer Oversight Reforms - Permits a national securities exchange to adopt and implement rules for members and material associated persons engaged in derivatives transactions for which such exchange is the designated examining authority in order to enforce compliance with this Act. (Sec.205) Prescribes, for risk assessment purposes, derivatives transaction recordkeeping and reporting requirements for: (1) government securities brokers and dealers; and (2) brokers and dealers.

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3 official files

• Introduced in House (text)

  Introduced in House · EN · 27 February 1995

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• Introduced in House (PDF)

  Introduced in House · EN · 27 February 1995

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• Introduced in House

  summary · EN · 27 February 1995

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