On December 13, 2023, the Securities and Exchange Commission (SEC) voted (4-1) to adopt new requirements under the Securities Exchange Act of 1934 (Exchange Act), which will restructure the clearance and settlement of...more
1/2/2024
/ Amended Rules ,
CFTC ,
Clearing Agencies ,
Futures Commission Merchants (FCMs) ,
Hedge Funds ,
New Regulations ,
Policies and Procedures ,
Repurchase Agreements ,
Repurchases ,
Secondary Markets ,
Securities ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Settlement ,
Treasury Markets
The Securities and Exchange Commission (SEC) security-based swap dealer (SBSD) rules have finally been issued, and a large amount of work will be required to comply. The good news is there is a foundation to build on, given...more
On December 18, 2019, the Securities and Exchange Commission (SEC) adopted a package of rule amendments, guidance and a related order to expand and improve the framework for regulating cross-border security-based swaps,...more
2/13/2020
/ Amended Rules ,
CFTC ,
Compliance ,
Cross-Border Transactions ,
Dodd-Frank ,
Market Participants ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Security-Based Swaps ,
Swap Dealers ,
Swaps
On December 18, 2019, the Securities and Exchange Commission (the SEC or Commission) adopted new rules pursuant to Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) requiring the...more
2/13/2020
/ Broker-Dealer ,
CFTC ,
Dodd-Frank ,
Major Swap Participants ,
New Rules ,
Risk Mitigation ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
Swap Dealers ,
Swaps ,
Uncleared Swaps
On September 19, 2019, the Securities and Exchange Commission (SEC or Commission) adopted new rules and amendments establishing recordkeeping and reporting requirements for security-based swap dealers (SBSDs), major...more
On June 21, 2019, the Securities and Exchange Commission (SEC or Commission) adopted a package of rules and rule amendments (Rules) that set forth the capital, margin and segregation requirements for security-based swap...more
7/23/2019
/ Amended Rules ,
Broker-Dealer ,
Capital Requirements ,
CFTC ,
Credit Default Swaps ,
Final Rules ,
Major Swap Participants ,
Margin Requirements ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
Swap Dealers ,
Swaps
I. Executive Summary -
On November 24, 2015, the Commodity Futures Trading Commission (CFTC or Commission) proposed a new regulatory regime for automated trading on US designated contract markets (DCM) (Regulation AT or...more
On April 29, 2015, the US Securities and Exchange Commission (SEC) proposed new rules to enhance its oversight of non-US firms’ security-based swap activity in the United States. The proposal, if adopted, will have important...more