Shearman & Sterling LLP multinational law firm headquartered in New York City, United States.

balance scale

Sep 02, 2015

SEC Moves Closer to Registration of Security-Based Swap Entities

Subscribe

Jump to...

 

On August 5, 2015, the US Securities and Exchange Commission (SEC) took several incremental steps towards completing its regulatory framework for security-based swap dealers and majority security-based swap participants. The SEC unanimously adopted final rules providing the registration process for security-based swap entities, including the detailed forms that registrants will be required to file. The SEC also voted three to two to propose rules to establish a process for a security-based swap entity to apply for permission to continue to carry out security-based swap activity in association with parties that are subject to statutory disqualification.

View full article, SEC Moves Closer to Registration of Security-Based Swap Entities

Authors and Contributors

Donna Parisi

Partner

Derivatives & Structured Products

+1 212 848 7367

+1 212 848 7367

New York

Geoffrey Goldman

Partner

Derivatives & Structured Products

+1 212 848 4867

+1 212 848 4867

New York

Azam Aziz

Partner

Derivatives & Structured Products

+1 212 848 8154

+1 212 848 8154

New York