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SBSD Swap Dealers

WilmerHale

Preparing for Security-based Swap Dealer Registration: Comparing SEC & CFTC Regulatory Requirements

WilmerHale on

The Securities and Exchange Commission (SEC) security-based swap dealer (SBSD) rules have finally been issued, and a large amount of work will be required to comply. The good news is there is a foundation to build on, given...more

Cadwalader, Wickersham & Taft LLP

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

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

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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