US Derivatives Regulation: SEC Recordkeeping, Reporting, and Notification Requirements for Security-Based Swaps | Practical Law

US Derivatives Regulation: SEC Recordkeeping, Reporting, and Notification Requirements for Security-Based Swaps | Practical Law

A Practice Note explaining SEC rules establishing recordkeeping, reporting, and notification requirements under Title VII of the Dodd-Frank Act for security-based swaps (SBS), applicable to security-based swap dealers (SBSDs), major security-based swap participants (MSBSPs), and broker-dealers.

US Derivatives Regulation: SEC Recordkeeping, Reporting, and Notification Requirements for Security-Based Swaps

by Practical Law Finance
Maintained • USA (National/Federal)
A Practice Note explaining SEC rules establishing recordkeeping, reporting, and notification requirements under Title VII of the Dodd-Frank Act for security-based swaps (SBS), applicable to security-based swap dealers (SBSDs), major security-based swap participants (MSBSPs), and broker-dealers.