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SBSD › Capital Requirements

Cadwalader, Wickersham & Taft LLP

The SEC Adopts Security-Based Swap Regulations Governing Capital, Margin and Collateral Segregation

Cadwalader, Wickersham & Taft LLP on

The Securities and Exchange Commission ("SEC") has adopted rules under the Securities Exchange Act (the "SEA") establishing (i) capital and margin requirements applicable to broker-dealers entering into security-based swaps...more

Skadden, Arps, Slate, Meagher & Flom LLP

Recent SEC No-Action, Re-Proposal for Security-Based Swaps Focus on Comparability With Other US Regulators

Skadden, Arps, Slate, Meagher & Flom LLP on

In recent days, the Securities and Exchange Commission (SEC) announced a no-action position on enforcing its 2016 Business Conduct Standards against security-based swap dealers (SBSDs) and major security-based swap...more

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