Title

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

Created date

8/26/2015

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.