Regulatory Alerts2015-05-13 | 2015-10382Added · Updated
Application of Certain Title VII Requirements to Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity Arranged, Negotiated, or Executed in the U.S.
The Securities and Exchange Commission proposes amendments to Exchange Act rules and Regulation SBSR to clarify the application of Title VII of the Dodd-Frank Act to cross-border security-based swap activities. These proposals specifically address how the de minimis exception applies to non-U.S. persons when their dealing activity is arranged, negotiated, or executed by personnel located in a U.S. branch or office. Additionally, the Commission seeks to apply regulatory reporting and public dissemination requirements to such transactions and to transactions effected by registered broker-dealers.
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