Regulatory Alerts2019-12-16 | 2019-20678Added · Updated
Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers
The Securities and Exchange Commission adopted final rules establishing recordkeeping, reporting, and notification requirements for security-based swap dealers and major security-based swap participants under the Dodd-Frank Act. The Commission also implemented securities count requirements for certain dealers and additional recordkeeping obligations for broker-dealers engaging in security-based swap activities. Furthermore, the rules provide for substituted compliance mechanisms to allow eligible entities to comply with comparable foreign regulatory standards instead of domestic requirements.
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