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
11/14/2019
/ Broker-Dealer ,
Capital Requirements ,
CFTC ,
Dodd-Frank ,
Final Rules ,
Margin Requirements ,
MSBSPs ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
Segregation Requirements ,
Swap Dealers
On May 24, 2016, the U.S. Commodity Futures Trading Commission (“CFTC”) adopted a final rule defining the cross border application of its margin requirements for uncleared swaps. The final rule covers all swap dealers and...more
On August 5, 2015, the US Securities and Exchange Commission (“SEC”) took several incremental steps toward completing its regulatory framework for security-based swap dealers and majority security-based swap participants...more