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SEC adopts cross-border security-based swaps rules
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Derivatives
Tuesday, July 1, 2014
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The Securities and Exchange Commission adopted the first of a series of rules and guidance on cross-border security-based swap activities. The rules and guidance explain when a cross-border transaction must be counted toward the requirement to register as a security-based swap dealer or major security-based swap participant. The commission also adopted a procedural rule regarding the submission of “substituted compliance” requests. Read on to learn about the SEC’s rules and how they intersect with cross-border guidance released by the Commodity Futures Trading Commission last summer.
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