BROKER-DEALER -
SEC Issues Guidance on Substituted Compliance Applications by Non-US Security-Based Swap Dealers and Major Security-Based Swap Participants -
On November 25, the Securities and Exchange Commission’s Division of Trading and Markets issued guidance
intended to facilitate certain substituted compliance applications submitted by non-US security-based swap
dealers and/or major security-based swap participants (Guidance).
Please see full publication below for more information.
