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SBSD › Security-Based Swaps › Broker-Dealer

Cozen O'Connor

Summarizing the SEC’s 2025 Examination Priorities Report, Part 2

Cozen O'Connor on

In the second part of this legal update series, we summarize the key takeaways from the Division of Examinations’ (Division) 2025 priorities report released on October 21, 2024. The Division remains focused on mainstays like...more

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

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