The SEC provided guidance on security-based swap dealer applications for statutorily disqualified associated persons to be permitted to effect, or be involved in effecting, security-based swaps on behalf of an SBS entity.
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NFA adopted an amendment to the examination requirement for branch office managers of firms that engage only in swap activities.
NFA filed with the CFTC proposed amendments to the examination requirement for branch office managers and designated futures principals that engage in swap activities.
NFA reminded firms that January 31, 2021 is the compliance date for the associated persons of swap dealers and intermediaries to satisfy their Swaps Proficiency Requirements.
The SEC final rules governing security-based swap activity in a cross-border context and the associated deadlines were published in the Federal Register. The compliance date for registration of SBSDs will be October 6, 2021.