October 04, 2019

SEC Adopts Security-Based Swaps Recordkeeping and Reporting Rules; Compliance Countdown Begins Soon

On September 19, the U.S. Securities and Exchange Commission took another significant step toward completing its requirements for the security-based swap and swap activities by finalizing its recordkeeping and reporting rules for security-based swap dealers (SBSDs), major security-based swap participants (MSBSPs) and broker-dealers. With compliance dates approaching, this Legal Update provides a summary of the key recordkeeping and reporting rules adopted.

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