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US Derivatives Regulation: Security-Based Swaps (SBS) Toolkit
Practical Law Toolkit w-029-5811 (Approx. 12 pages)
US Derivatives Regulation: Security-Based Swaps (SBS) Toolkit
by Practical Law Finance
| Maintained • USA (National/Federal) |
A Toolkit covering Practical Law resources on US regulation of security-based swaps (SBS). This Toolkit also includes a tracker of current developments in SBS.
This Toolkit provides a quick and easy guide to Practical Law resources on US regulation of security-based swaps (SBS). This Toolkit also includes a tracker of current developments in SBS (see Recent SBS Legal Updates).
The following Practical Law resources cover regulation of SBS, including margin, data reporting, rules for security-based swap dealers (SBSDs), and other SBS requirements under SEC rules:
Recent SBS Legal Updates
- SEC v. Terraform Labs: SDNY Holds UST and Certain Other Crypto Assets Are Securities (published January 3, 2024)
- SEC Adopts Rules to Mitigate Conflicts of Interest in Registered Clearing Agency Boards (published December 5, 2023)
- SEC Adopts Regulatory Regime for Security-Based Swap Execution Facilities (SBSEFs) and SBS Trade Execution (published November 7, 2023)
- SEC Adopts Amendments to Beneficial Ownership Reporting Requirements (published October 12, 2023)
- SEC v. Terraform Labs: SDNY Judge Denies Motion to Dismiss, Declines to Follow Ripple Labs Ruling (published August 17, 2023)
- SEC Proposes Amendments to the Broker-Dealer Customer Protection Rule (published July 13, 2023)
- SEC Adopts Final Rules on Security-Based Swap (SBS) Fraud Prevention and CCO Independence (published June 13, 2023)
- SEC Proposes Clearing Agency Risk-Management Revisions (published 5/23/2023)
- SEC Proposes Updates to Exchange Act Electronic Filing Requirements for SBSDs (published 3/23/2023)
- SEC Proposes Cybersecurity Risk Management Rule for Broker-Dealers and SBS Entities (published 3/16/2023)
- SEC Proposes to Expand and Update Regulation SCI to Include SBSDRs (published 3/16/2023)
- SEC Amends Electronic Recordkeeping Requirements for Broker-Dealers and SBS Entities (published 10/13/2022)
- SEC Proposes Rule to Mitigate Conflicts of Interest in Securities Clearing Agencies (published 8/10/2022)
- SEC Issues New C&DI Regarding Physical Settlement Exclusion from Swap Definitions (published 6/16/2022)
- SEC Proposes Regulatory Regime for Security-Based Swap Execution Facilities (SBSEFs) (published 4/8/2022)
- ESMA Issues Update on Third-Country CCP Recognition (published 3/25/2022)
- SEC Extends Filing Deadlines for Certain SBSD Reports (published 3/10/2022)
- SEC Issues FAQs on Security-Based Swap Dealer Annual CCO Reports (published 2/10/2022)
- Updated: FINRA Adopts Rule Changes to Clarify the Application of Its Rules to Security-Based Swaps (published on 1/20/2022)
- SEC Issues New and Amended Security-Based Swap (SBS) Substituted Compliance Orders (published 11/8/2021)
- Updated: ISDA Publishes Security-Based Swap (SBS) Initial Margin "Bolt-On" Supplements (published 9/13/2021)
- SEC Issues No-Action Accommodations Regarding Security-Based Swap (SBS) Compliance (published 8/26/2021)
- ECB and SEC Sign MoU on Supervision and Oversight of Security-Based Swap Entities (published 8/16/2021)
- ISDA Publishes US Self Disclosure Letter for Margin Compliance (published 5/18/2021)
- FINRA Requests Comment on the Application of FINRA Rules to Security-Based Swaps (published 10/19/2020)
- Updated: FINRA Proposes Further Extension of CDS Margining Pilot Program (published 6/8/2020)
- SEC Amends Rules for Securities Clearing Agencies (published 4/28/2020)
- FINRA Files to Extend Rule 0180 and Postpone Rule 4210 (published 1/17/2020)
- SEC Adopts Risk Mitigation Rules for Uncleared Security-Based Swaps (published 1/6/2020)