News & Analysis as of

Broker-Dealer MSBSPs

Dechert LLP

SEC Adopts Amendments to Rule 17a-4 Electronic Recordkeeping Requirement

Dechert LLP on

The Securities and Exchange Commission on October 12, 2022, adopted amendments to the electronic recordkeeping requirements for broker-dealers, security-based swap dealers (SBSDs), and major security-based swap participants...more

Goodwin

Agencies Approve Final Rule: Computer-Security Incident Notification

Goodwin on

In This Issue. The Office of the Comptroller of the Currency (OCC), the Federal Deposit Insurance Corporation (FDIC) and the Board of Governors of the Federal Reserve System (together, the Agencies) issued a final rule...more

A&O Shearman

SEC Finalizes Capital, Margin and Segregation Requirements

A&O Shearman on

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

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on Additional Rules for Security-Based Swaps, Cross-Border Regulatory...

SEC/CORPORATE - SEC Adopts Additional Rules for Security-Based Swaps - On June 21, the Securities and Exchange Commission adopted a panoply of final rules dealing with the following aspects of the regulation of...more

Latham & Watkins LLP

SEC Proposed Rules: Recordkeeping and Reporting for SBSDs, MSBSPs and BDs; Capital Rules for Certain SBSDs

Latham & Watkins LLP on

The SEC has proposed recordkeeping and reporting rules and capital charges for security-based swap dealers based on the current broker-dealer reporting and recordkeeping regime. Market participants in the derivatives...more

Goodwin

SEC Proposes Recordkeeping, Reporting, and Notification Requirements for Security-Based Swap Dealers and Major Security-Based Swap...

Goodwin on

The SEC issued a release proposing recordkeeping, reporting, and notification requirements for security-based swap dealers (“SBSDs”) and major security-based swap participants (“MSBSPs”). Although described as seeking to...more

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