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Registration Process for Security-Based Swap Dealers and Major Security-Based Swap Participants (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition)

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eBook details

  • Title: Registration Process for Security-Based Swap Dealers and Major Security-Based Swap Participants (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition)
  • Author : The Law Library
  • Release Date : January 22, 2018
  • Genre: Law,Books,Professional & Technical,
  • Pages : * pages
  • Size : 528 KB

Description

The Law Library presents the complete text of the Registration Process for Security-Based Swap Dealers and Major Security-Based Swap Participants (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition).
Updated as of May 29, 2018

The Securities and Exchange Commission (the ā€œCommissionā€) is adopting new Rules 15Fb1-1 through 15Fb6-2 and Forms SBSE, SBSE-A, SBSE-BD, SBSE-C and SBSE-W in accordance with Section 15F of the Securities Exchange Act of 1934 (the ā€œExchange Actā€). Section 15F, which was added to the Exchange Act by Section 764(a) of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (ā€œDodd-Frank Actā€), requires the Commission to issue rules to provide for the registration of security-based swap dealers (ā€œSBS Dealersā€) and major security-based swap participants (ā€œMajor SBS Participantsā€) (collectively, ā€œSBS Entitiesā€). These new rules and forms establish a process by which SBS Entities can register (and withdraw from registration) with the Commission.

This ebook contains:
- The complete text of the Registration Process for Security-Based Swap Dealers and Major Security-Based Swap Participants (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition)
- A dynamic table of content linking to each section
- A table of contents in introduction presenting a general overview of the structure


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