Investment Management Law: SEC Proposals Expand Swaps Regulation

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Investment Management Law: SEC Proposals Expand Swaps Regulation

SEC Proposals Expand Swaps Regulation

The SEC has proposed new rules under Dodd-Frank for the regulation of securities-based swaps. The proposals broadly define the terms “swap dealer” and “major swap participant” which would be subject to significant regulation. The SEC also proposed significant reporting requirements for end-users not subject to mandatory clearing.

OUR TAKE: If your firm regularly uses securities-based swaps, an entirely new regulatory regime, including mandatory clearing, will govern your activities. The exemptions are narrowly-drafted, thereby sweeping most players under the SEC’s supervision.

http://sec.gov/rules/proposed/2010/34-63452.pdf

http://www.sec.gov/news/press/2010/2010-244.htm

Posted by Todd Cipperman at 12/16/2010 7:36 AM