Financial Regulatory Roundup November 2025

Neil Issar, Leel Sinai, Brian Sung, Brianne Wylie
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SEC Chairman Atkins Issues Statement Regarding Security-Based Swap Dealer De Minimis Threshold Phase-in Period and Lookback Period -

On Oct. 29, 2025, in light of the ongoing U.S. government shutdown, Securities and Exchange Commission (SEC) Chairman Paul Atkins issued a Statement Regarding Phase-In Termination Date for the De Minimis Exception to the Security-Based Swap Dealer Definition (the Statement).

Please see full publication below for more information.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations. Attorney Advertising.

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