News & Analysis as of

MSBSPs

Hanzo

Understanding SEC Rule 18a-6: Navigating the New Landscape for SBSDs and MSBSPs

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The Securities and Exchange Commission (SEC) is tasked with creating and enforcing regulations that safeguard investors, promote fair and transparent markets, and facilitate capital formation. Recently, the SEC revised Rule...more

Dechert LLP

SEC Proposes New Cybersecurity Risk Management Rule for Various Market Entities

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At an open meeting on March 15, 2023, the U.S. Securities and Exchange Commission voted three to two to propose a new rule, form and amendments (together, “Proposed Rule”) and published an accompanying release (“Release”)...more

Dechert LLP

SEC Adopts Amendments to Rule 17a-4 Electronic Recordkeeping Requirement

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The Securities and Exchange Commission on October 12, 2022, adopted amendments to the electronic recordkeeping requirements for broker-dealers, security-based swap dealers (SBSDs), and major security-based swap participants...more

Jones Day

SEC Proposes Three New Rules for Securities-Based Swaps

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The SEC is considering new rules that would require public position reporting and other requirements for security-based swaps. On December 15, 2021, the SEC proposed three rules under the Securities Exchange Act to...more

Goodwin

Agencies Approve Final Rule: Computer-Security Incident Notification

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In This Issue. The Office of the Comptroller of the Currency (OCC), the Federal Deposit Insurance Corporation (FDIC) and the Board of Governors of the Federal Reserve System (together, the Agencies) issued a final rule...more

A&O Shearman

SEC Finalizes Capital, Margin and Segregation Requirements

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As a further step towards the implementation of its security-based swap regime, the Securities and Exchange Commission (SEC) has adopted a number of long-awaited capital, margin and segregation requirements for security-based...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on Additional Rules for Security-Based Swaps, Cross-Border Regulatory...

SEC/CORPORATE - SEC Adopts Additional Rules for Security-Based Swaps - On June 21, the Securities and Exchange Commission adopted a panoply of final rules dealing with the following aspects of the regulation of...more

Morrison & Foerster LLP

Harmony or Dissonance: The CFTC’s and SEC’s Cross-Border Rules

Recently, the SEC issued final rules addressing, among other things, the applicability of the security-based swap dealer (“SBSD”) and major security-based swap participant (“MSBSP”) definitions to cross-border security-based...more

Latham & Watkins LLP

SEC Proposed Rules: Recordkeeping and Reporting for SBSDs, MSBSPs and BDs; Capital Rules for Certain SBSDs

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The SEC has proposed recordkeeping and reporting rules and capital charges for security-based swap dealers based on the current broker-dealer reporting and recordkeeping regime. Market participants in the derivatives...more

Goodwin

SEC Proposes Recordkeeping, Reporting, and Notification Requirements for Security-Based Swap Dealers and Major Security-Based Swap...

Goodwin on

The SEC issued a release proposing recordkeeping, reporting, and notification requirements for security-based swap dealers (“SBSDs”) and major security-based swap participants (“MSBSPs”). Although described as seeking to...more

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