Regulatory Alerts2023-12-15 | 2023-24587Added · Updated
Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities
The Securities and Exchange Commission adopted Regulation SE to establish a comprehensive registration and regulatory framework for security-based swap execution facilities (SBSEFs) under the Securities Exchange Act of 1934. The rules implement statutory requirements including the 14 Core Principles for SBSEFs, address cross-border trading venue registration, and mitigate conflicts of interest at SBSEFs and national securities exchanges trading security-based swaps. Additionally, the Commission exempted certain registered SBSEFs from specific broker requirements, amended existing exchange definitions, and created appeal mechanisms for persons aggrieved by SBSEF actions.
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