SEC Adopts Registration Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants
Client Memorandum

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On August 5, 2015, the SEC unanimously adopted final rules and forms for the registration of security-based swap dealers and major security-based swap participants.  The final rules draw heavily upon existing SEC registration regimes and have taken into account the CFTC's registration requirements for swap dealers and major swap participants.