Regulatory Alerts2018-10-19 | 2018-22531Added
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
The Securities and Exchange Commission is reopening the comment period for proposed rules establishing capital, margin, and segregation requirements for security-based swap dealers and major security-based swap participants without prudential regulators. The proposal also seeks additional feedback on raising minimum net capital and establishing liquidity requirements for broker-dealers permitted to use internal models when computing net capital. Additionally, the Commission requests comment on proposed amendments regarding the cross-border treatment of security-based swap capital, margin, and segregation requirements.
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