Web“SEC”) on the security-based swap (“SBS”) position reporting requirements set forth in Proposed Rule 10B-1 under the Securities Exchange Act of 1934 (the “Exchange Act”) and … Web23 Apr 2014 · The SEC has published proposed recordkeeping, reporting and capital deficiency notification requirements that would apply to security-based swap dealers …
Recordkeeping and Reporting Requirements for Security …
The SEC views recordkeeping and reporting requirements as entity-level requirements applicable to all the security-based swap transactions of the registered entity regardless of the US person status of the entity or the US person status of the entity’s counterparty to any particular transactions. See more The Title VII recordkeeping and reporting requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) … See more The SEC’s new rules establish the requirements for broker-dealer SBSD, stand-alone SBSD and bank SBSD recordkeeping programs. These rules are largely modeled on … See more The SEC adopted a notification program for SBSDs and MSBSPs under Sections 15F and 17(a) of the Exchange Act. Rule 17a-11 specifies the circumstances under which a broker-dealer … See more The Commission has established a reporting program for SBSDs and MSBSPs under Sections 15F and 17(a) of the Exchange Act, … See more Web6 Oct 2024 · (iii) SD Members must file their financial reports on Form FR-CSE-NLA or FR-CSE-BHC, except that an SD Member that is an SEC registered broker-dealer, security-based swap dealer or major security-based swap participant must file its financial reports on the FOCUS report if it otherwise files such report with the SEC. (f) Notice Requirements platform huaraches sandals rainbow
Security-Based Swaps - Sullivan & Cromwell
Web20 Dec 2024 · The US Securities and Exchange Commission proposed new rules on December 15, 2024, with respect to security-based swaps that, if adopted as proposed, would prohibit fraud and manipulation, require reporting of large security-based swap positions, and protect the chief compliance officer of security-based swap dealers and … Web20 Dec 2024 · Security-Based Swap Reporting Compliance Date for any Security-Based Swap Asset Class — The later of 1) 6 months after the registration date of the first swap … Web(a) Assigning reporting duties. A security-based swap, including a security-based swap that results from the allocation, termination, novation, or assignment of another security-based … platform hub