The SEC approved the registration of Depository Trust and Clearing Corporation Data Repository (U.S.), LLC as the first registered security-based swap data repository.
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A school for day trading securities settled SEC charges for (i) offering security-based swaps to non-eligible contract participants and (ii) failing to effect the transactions on a registered national securities exchange.
The SEC updated its materials for security-based swap dealer registration, including a questionnaire for non-U.S. security-based swap dealers filing a substituted compliance application.
The SEC requested public comment on the application for registration as a security-based swap data repository of Depository Trust & Clearing Corporation. The request was published in the Federal Register.