Regulatory Alerts2019-08-22 | 2019-13609Added · Updated
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers
The Securities and Exchange Commission adopted final rules establishing capital, margin, and segregation requirements for nonbank security-based swap dealers and major security-based swap participants under the Dodd-Frank Act. The Commission also increased minimum net capital requirements for broker-dealers authorized to use internal models and prescribed specific capital and segregation rules for broker-dealers engaging in security-based swap activities. Additionally, the rules provide substituted compliance mechanisms for foreign entities and specify when foreign security-based swap dealers and participants are exempt from U.S. segregation requirements.
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