Regulatory Alerts2016-03-11 | C1-2016-03178Added
CFR Corrections: CFTC Registration Rules and SEC Security-Based Swap Dealer De Minimis Exception
The Commodity Futures Trading Commission and the Securities and Exchange Commission issued corrections to the Code of Federal Regulations. The CFTC revised sections 3.45 and 3.10 to clarify guarantee agreement procedures and registration duration for introducing brokers and other registrants. The SEC corrected typographical errors, duplicated footnotes, and a heading in its February 19, 2016, final rule regarding security-based swap transactions and the de minimis exception for security-based swap dealers.
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