FacultyFaculty/Author Profile
Gary Barnett

Gary Barnett

U.S. Securities and Exchange Commission
Deputy Director, Division of Trading and Markets
Washington , DC, USA


Gary Barnett is a Deputy Director in the Division of Trading and Markets at the U.S. Securities and Exchange Commission, where he is responsible for (i) broker-dealer oversight, including capital, margin and segregation rules, governance and risk management; (ii) derivatives policy; (iii) certain trading practices; and (iv) Volcker.

Prior to joining the SEC, Mr. Barnett was the Commodity Futures Trading Commission’s Director of the Division of Swap Dealer and Intermediary Oversight. There he established the swap dealer registration and compliance programs, led the responses to the FCM and RFED crises following MF Global, including the reorientation of the exam program and the creation and adoption of the FCM customer protection rules, and formed DSIO’s CPO/CTA team and led many of its key initiatives.

Before joining the CFTC in 2011, he was a partner and head of the U.S. Derivatives and Structured Finance Practice Group at Linklaters LLP. Prior to Linklaters, he was a partner and co-head of the Securitization and Derivatives Practice at Shearman & Sterling LLP.

Mr. Barnett was an adjunct professor of law and taught Derivatives Regulation at Cornell Law School from 2012 through 2015, chaired PLI’s annual conference on New Developments in Securitization from 1995 through 2010, is co-Chair of the PLI annual conferences on fundamental and advanced swaps and other derivatives, and is a member of the New York, California and Oklahoma bars.

Gary Barnett is associated with the following items:
Course Handbooks  Course Handbooks Fundamentals of Swaps & Other Derivatives 2016
Advanced Swaps & Other Derivatives 2016
Fundamentals of Swaps & Other Derivatives 2017
Advanced Swaps & Other Derivatives 2017
CHB Chapters  CHB Chapters U.S. Commodity Futures Trading Commission—Letter No. 14-158 Re: Commodity Exchange Act § 4s(k)(2) and Commission Regulation 3.3 (November 25, 2014) - Advanced Swaps & Other Derivatives 2016, Tuesday, October 25, 2016
U.S. Commodity Futures Trading Commission—Speech: On the Relationship of Compliance and Risk & Board Governance and CCO Reporting Lines (October 22, 2013) - Advanced Swaps & Other Derivatives 2016, Tuesday, October 25, 2016
U.S. Commodity Futures Trading Commission—Speech: On Corporate Governance: Observations for the Directors of Boards of Swap Dealers, Major Swap Participants and Futures Commission Merchants (August 12, 2014) - Advanced Swaps & Other Derivatives 2016, Tuesday, October 25, 2016
Remarks at the ISDA Annual Legal Forum in New York (June 16, 2016) - Advanced Swaps & Other Derivatives 2016, Tuesday, October 25, 2016
Federal Register: U.S. Commodity Futures Trading Commission: 17 CFR Part 50: Clearing Requirement Determination Under Section 2(h) of the CEA for Interest Rate Swaps; Proposed Rule (June 16, 2016) - Advanced Swaps & Other Derivatives 2017, Tuesday, October 24, 2017
Federal Register: U.S. Commodity Futures Trading Commission: 17 CFR Parts 1, 15, 17, 19, 37, 38, 140, 150, and 151: Position Limits for Derivatives; Reproposal (December 30, 2016) - Advanced Swaps & Other Derivatives 2017, Tuesday, October 24, 2017
Federal Register: U.S. Commodity Futures Trading Commission: 17 CFR Part 23: Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants—Cross-Border Application of the Margin Requirements; Agency Information Collection Activities: Proposed Collection, Comment Request: Final Rule, Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants—Cross-Border Application of the Margin Requirements; Final Rule and Notice (May 31, 2016) - Advanced Swaps & Other Derivatives 2017, Tuesday, October 24, 2017
Federal Register: U.S. Commodity Futures Trading Commission: 17 CFR Part 3: Chief Compliance Officer Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants: Amendments to Filing Dates; Final Rule (November 16, 2016) - Advanced Swaps & Other Derivatives 2017, Tuesday, October 24, 2017
Web Segment  Web Segment Trading and Markets - SEC Speaks in 2017, Tuesday, February 28, 2017
Vetting Vendor Service Providers for Financial Services Firms - Financial Services Technology 2017: Avoidance of Risk, Monday, May 08, 2017
Swap Basics - Fundamentals of Swaps & Other Derivatives 2017, Tuesday, October 24, 2017
Regulatory Fundamentals - Fundamentals of Swaps & Other Derivatives 2017, Tuesday, October 24, 2017
Bilateral OTC Derivatives: Termination, Valuation, Netting, Closeout, Netting Opinions - Fundamentals of Swaps & Other Derivatives 2017, Tuesday, October 24, 2017
Regulation of Other Swap Market Participants: The Swap Activities of Banks (continued) - Advanced Swaps & Other Derivatives 2017, Thursday, October 26, 2017
Clearing; Margin for Cleared Transactions; Client Money Segregation; Default Management; End-User Perspectives - Advanced Swaps & Other Derivatives 2017, Thursday, October 26, 2017
Swap Dealers and Major Swap Participants: Who Are They and How Are They Regulated? Reporting, Business Conduct Rules, Capital - Advanced Swaps & Other Derivatives 2017, Thursday, October 26, 2017
Principal Issues for Consideration and Negotiation in Derivatives Documentation-Cleared and Uncleared - Advanced Swaps & Other Derivatives 2017, Thursday, October 26, 2017
CFTC and SEC Chiefs of Staff Panel Discussion - Advanced Swaps & Other Derivatives 2017, Thursday, October 26, 2017
MP3 Audio  MP3 Audio Trading and Markets - Trading and Markets, Tuesday, February 28, 2017
Vetting Vendor Service Providers for Financial Services Firms - Vetting Vendor Service Providers for Financial Services Firms , Monday, May 08, 2017
Bilateral OTC Derivatives: Termination, Valuation, Netting, Closeout, Netting Opinions - Bilateral OTC Derivatives: Termination, Valuation, Netting, Closeout, Netting Opinions, Tuesday, October 24, 2017
Regulatory Fundamentals - Regulatory Fundamentals, Tuesday, October 24, 2017
Swap Basics - Swap Basics, Tuesday, October 24, 2017
Clearing; Margin for Cleared Transactions; Client Money Segregation; Default Management; End-User Perspectives - Clearing; Margin for Cleared Transactions; Client Money Segregation; Default Management; End-User Perspectives, Thursday, October 26, 2017
CFTC and SEC Chiefs of Staff Panel Discussion - CFTC and SEC Chiefs of Staff Panel Discussion, Thursday, October 26, 2017
Swap Dealers and Major Swap Participants: Who Are They and How Are They Regulated? Reporting, Business Conduct Rules, Capital - Swap Dealers and Major Swap Participants: Who Are They and How Are They Regulated? Reporting, Business Conduct Rules, Capital, Thursday, October 26, 2017
Regulation of Other Swap Market Participants: The Swap Activities of Banks (continued) - Regulation of Other Swap Market Participants: The Swap Activities of Banks (continued), Thursday, October 26, 2017
Principal Issues for Consideration and Negotiation in Derivatives Documentation-Cleared and Uncleared - Principal Issues for Consideration and Negotiation in Derivatives Documentation-Cleared and Uncleared, Thursday, October 26, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Trading and Markets - Trading and Markets, Tuesday, February 28, 2017
Vetting Vendor Service Providers for Financial Services Firms - Vetting Vendor Service Providers for Financial Services Firms , Monday, May 08, 2017
Swap Basics - Swap Basics, Tuesday, October 24, 2017
Regulatory Fundamentals - Regulatory Fundamentals, Tuesday, October 24, 2017
Bilateral OTC Derivatives: Termination, Valuation, Netting, Closeout, Netting Opinions - Bilateral OTC Derivatives: Termination, Valuation, Netting, Closeout, Netting Opinions, Tuesday, October 24, 2017
Regulation of Other Swap Market Participants: The Swap Activities of Banks (continued) - Regulation of Other Swap Market Participants: The Swap Activities of Banks (continued), Thursday, October 26, 2017
Swap Dealers and Major Swap Participants: Who Are They and How Are They Regulated? Reporting, Business Conduct Rules, Capital - Swap Dealers and Major Swap Participants: Who Are They and How Are They Regulated? Reporting, Business Conduct Rules, Capital, Thursday, October 26, 2017
Principal Issues for Consideration and Negotiation in Derivatives Documentation-Cleared and Uncleared - Principal Issues for Consideration and Negotiation in Derivatives Documentation-Cleared and Uncleared, Thursday, October 26, 2017
Clearing; Margin for Cleared Transactions; Client Money Segregation; Default Management; End-User Perspectives - Clearing; Margin for Cleared Transactions; Client Money Segregation; Default Management; End-User Perspectives, Thursday, October 26, 2017
CFTC and SEC Chiefs of Staff Panel Discussion - CFTC and SEC Chiefs of Staff Panel Discussion, Thursday, October 26, 2017
On-Demand Web Programs  On-Demand Web Programs SEC Speaks in 2017, Friday, March 03, 2017, Washington, DC
Financial Services Technology 2017: Avoidance of Risk, Saturday, May 13, 2017, New York, NY
Fundamentals of Swaps & Other Derivatives 2017, Friday, October 27, 2017, New York, NY
Advanced Swaps & Other Derivatives 2017, Monday, November 06, 2017, New York, NY
Live Seminar  Live Seminar Fundamentals of Swaps & Other Derivatives 2018, Monday, October 22, 2018, New York, NY
Advanced Swaps & Other Derivatives 2018, Tuesday, October 23, 2018, New York, NY
Live Webcast  Live Webcast Fundamentals of Swaps & Other Derivatives 2018, Monday, October 22, 2018, New York, NY
Advanced Swaps & Other Derivatives 2018, Tuesday, October 23, 2018, New York, NY
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