The SEC set November 8, 2021 as the "data collection initiation date" marking the end of the "phase-in" period for the de minimis threshold for registration as a security-based swap dealer.
News & Insights
16 News Results
SEC Chair Gary Gensler and CFTC Chair Rostin Behnam highlighted U.S. regulatory initiatives in "new era" for derivatives.
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 issued an Order updating several exemptions and granting additional exemptions for certain security-based swap activities.
At the SIFMA annual meeting, SEC Chair Gary Gensler highlighted potential areas for reform across the Treasury, non-Treasury fixed income, equity and security-based swaps markets.