Regulatory Alerts2012-11-23 | 2012-26164Added · Updated
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 proposes new capital, margin, and segregation rules for security-based swap dealers and major security-based swap participants under the Dodd-Frank Act. The proposal establishes minimum net capital and liquidity standards for these entities while also increasing capital requirements for broker-dealers permitted to use alternative internal models. Additionally, the Commission seeks to implement segregation requirements for customer collateral and notification protocols to enhance market transparency and financial stability.
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