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SEC Staff Issues New FAQ for SBSD CCO Reports

The SEC Division of Trading and Markets issued new guidance for chief compliance officers submitting annual reports on behalf of security-based swap dealers.

The new FAQ addresses (1) the method and format for submitting the report (through the EDGAR system); (2) when the reports are due; and (3) how firms may request an extension of time to submit reports.

Primary Sources

  1. SEC: Frequently Asked Questions Regarding Chief Compliance Officer Annual Reports Submitted by Security-Based Swap Dealers and Major Security-Based Swap Participants

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Tags

Regulated Activities
Regulatory Reporting Supervision / Compliance
Sub-Activity
Annual Reports, CCO Obligations
Regulated Entities
Swap Dealers / SBSDs
Regulated Products
Swaps / SBS
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
SEC