The SEC adopted final rules on (i) the mandatory clearing of transactions in Treasury securities and (ii) the application of the broker-dealer customer protection rule to Treasury securities.
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The SEC staff provided no-action relief to security-based swap dealers from certain financial reporting requirements.
The SEC took a number of actions to address substituted compliance determinations for security-based swap dealers, including (i) amending orders previously granted covering Germany, France and the United Kingdom, and (ii) adopting an additional determination for Spain.
The SEC issued an Order specifying the conditions that a non-U.S. security-based swap dealer relying on substituted compliance must satisfy when filing certain financial reports.
The SEC published a proposed substituted compliance determination for security-based swap dealers regulated in Spain.