Regulatory Alerts2019-05-24 | 2019-10016Added · Updated
Proposed Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements
The Securities and Exchange Commission proposes amendments and interpretive guidance to tailor the cross-border application of Title VII security-based swap requirements. The proposal clarifies the 'arranged, negotiated, or executed' test for U.S. personnel activities and offers conditional exceptions to the de minimis counting provisions in Exchange Act Rule 3a71-3. Additionally, the Commission seeks to modify certification, counsel opinion, and associated person questionnaire requirements for non-resident security-based swap entities to reduce operational burdens.
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