Corporate & Financial Weekly Digest, Featuring Articles on LabCFTC's Digital Assets Primer and the FCA and HM Treasury Make Regulatory Preparations for the End of the Brexit Transition Period

BROKER-DEALER -

SEC Adopts Clearing Agency Rule to Limit Potential for Overlapping or Duplicative Regulation -

On December 16, the Securities and Exchange Commission announced that it adopted a rule to limit the potential for overlapping or duplicative regulation within its security-based swap regulatory regime. Specifically, the rule exempts certain activities of security-based swap execution facilities (SEFs) and security-based swap dealers from triggering the requirement also to register as a clearing agency. The adopted rule is in line with similar exemptions for broker-dealers and national securities exchanges.

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