FINRA set the compliance dates for rule amendments relating to security-based swaps.
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The SEC approved a FINRA proposal to address the application of FINRA rules to security-based swaps.
In new guidance, the SEC Division of Trading and Markets staff addressed the application of financial responsibility requirements (margin, capital and segregation) to security-based swap activities.
FINRA proposed amendments to clarify the application of FINRA rules to security-based swaps.
The SEC made technical corrections to a final rule establishing security-based swap capital, margin and segregation requirements.