On December 18th, the SEC approved a package of rule amendments, guidance, and a related order to expand and improve the framework for the regulation of cross-border security-based swaps, including single-name credit default swaps. This package also supports the SEC’s broad security-based swap regulatory regime in that it triggers the compliance date for security-based swap entities to register with the SEC and the implementation period for the previously adopted rules under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The rules create a coherent approach to the regulation of margin, capital, segregation, recordkeeping, reporting, and business conduct for security-based swaps.
Continue reading "SEC Adopts Actions to Stand Up Security-Based..." »Tuesday, January 07. 2020
SEC Adopts Actions to Stand Up Security-Based Swap Regulatory Regime
Thursday, January 02. 2020
SEC Adopts Risk Mitigation Techniques for Uncleared Security-Based Swaps
Tuesday, December 31. 2019
New Year's Hours
Thursday, December 26. 2019
SEC Proposes Rules to Implement the Statutory Mandate to Adopt Resource Extraction Disclosure Rules
Friday, December 20. 2019
Christmas Hours
Thursday, December 19. 2019
SEC Proposes to Update Accredited Investor Definition
Wednesday, December 18. 2019
SEC's Peak Filing Schedule for 2020
Monday, December 16. 2019
New Release (5.1d) for the GoFiler Family of Products
Friday, December 13. 2019
FASB Proposes Update to Future U.S. GAAP Financial Reporting Taxonomy - Codification Improvements
Wednesday, November 27. 2019
Thanksgiving Hours
SEC Proposes to Modernize Regulation of Derivatives Used by Registered Funds and Business Development Companies
Monday, November 25. 2019
New Release (5.1c) for the GoFiler Family of Products
SEC Announces Conference on Macroeconomic and Structural Trends and Dynamics Affecting the Capital Markets
Monday, November 18. 2019
SEC Proposes Rule Amendments to Improve Accuracy and Transparency of Proxy Voting Advice
Friday, November 08. 2019
SEC Closed Monday, November 11
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