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Friday, April 18, 2014

SEC: Security-Based Swap Proposal

The SEC is proposing recordkeeping, reporting and notification requirements applicable to security-based swap dealers and major security-based swap participants. The commission’s proposal is also pertinent to securities count requirements applicable to broker-dealers to account for their security-based swap and swap activities, as well as an additional capital charge provision that would be added to the proposed capital rule for security-based swap dealers. Lastly, the SEC is proposing technical amendments to the broker-dealer recordkeeping, reporting and notification requirements.

Comments will be due 60 days after publication in the Federal Register.

Read more.

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