Regulatory Alerts2012-12-03 | 2012-29048Added · Updated
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers; Correction
The Securities and Exchange Commission issued a correction to its proposed rulemaking regarding capital, margin, and segregation requirements for security-based swap dealers and major security-based swap participants, as well as capital requirements for broker-dealers. The agency is amending specific technical errors in footnote 172 on page 70233 and paragraph 6.c. on page 70332 of the original Federal Register notice published on November 23, 2012. These corrections adjust table headings and modify a threshold phrase from 'less than 50%' to 'less than or equal to 50%' to ensure regulatory accuracy.
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