Lauri Goodwyn

Seward & Kissel LLP

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Latest Posts › Securities and Exchange Commission (SEC)

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SEC Extends Compliance Dates for UST Repo and Cash Transaction Clearing Rule

On February 25, 2025, the SEC released a statement extending the compliance deadlines to clear US Treasury (“UST”) repo and cash transactions under the US Treasury Clearing Rule (“Clearing Rule”) by one-year. In the...more

3/5/2025 / Capital Markets , Compliance , Financial Institutions , Financial Regulatory Reform , Regulatory Requirements , Reporting Requirements , Securities and Exchange Commission (SEC) , Securities Regulation , U.S. Treasury

The SEC Approves Mandatory Clearing of Transactions in US Treasury Securities: Issues for the Buy Side to Consider

On December 13, 2023, the Securities and Exchange Commission (the “SEC” or the “Commission”) voted 4-1 to approve Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer...more

1/30/2024 / Broker-Dealer , Cash Transactions , CCA , Customer Protection Rule , DTCC , FICC , Infrastructure , Securities , Securities and Exchange Commission (SEC) , U.S. Treasury

SEC Approves Final Rule – Mandatory Clearing of Transactions in US Treasury Securities

On December 13, 2023, the Securities and Exchange Commission (the “SEC”) voted 4-1, to adopt Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule...more

12/19/2023 / Broker-Dealer , Cash Transactions , CCA , Compliance , FICC , Final Rules , Repurchase Options , Securities and Exchange Commission (SEC) , U.S. Treasury

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