On December 15, the Securities and Exchange Commission (SEC) proposed a series of potentially far-reaching changes to the regulation of the security-based swap (SBS) markets. Among other changes, the proposed rules would...more
The CFTC has adopted a final rule to prohibit the controversial practice of post-trade name give-up for swaps that are executed anonymously through a Swap Execution Facility (SEF) and are intended to be cleared. Although the...more
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
The Securities and Exchange Commission (SEC) continues to take steps toward implementation of its security-based swap (SBS) dealer registration framework. A particular area of concern for market participants has been how the...more
9/4/2019
/ CFTC ,
Cross-Border Transactions ,
Disqualification ,
Financial Regulatory Agencies ,
Financial Regulatory Reform ,
Foreign Financial Accounts ,
Market Participants ,
Registration Requirement ,
Regulatory Agenda ,
Rulemaking Process ,
Rules of Practice ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Security-Based Swaps ,
Swap Dealers ,
Threshold Requirements
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