How Does the SEC Regulate Platforms That Trade Security-Based Derivatives? ⎊ Path

How Does the SEC Regulate Platforms That Trade Security-Based Derivatives?

The SEC regulates platforms trading derivatives based on securities, such as single-stock futures or security-based swaps, as they fall under securities law. Such platforms must register as national securities exchanges or comply with specific exemptions.

The CFTC, conversely, regulates platforms trading derivatives on non-securities like broad-based indices or commodities.

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Glossar

How Does the SEC Regulate Platforms That Trade Security-Based Derivatives?

How Does the SEC Regulate Platforms That Trade Security-Based Derivatives?

Glossar

National Securities Exchanges

CFTC Jurisdiction

SEC