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The SEC Issues Statement and Requests Comment Regarding the Custody of Digital Asset Securities by Special Purpose Broker-Dealers

USA - February 2 2021 On December 23, 2020, the Securities and Exchange Commission (SEC or Commission) issued a statement (Statement) regarding the custody of digital…

Aaron Friedman, Jeremy Moorehouse, Tiffany J. Smith.

The SEC Adopts Security-Based Swap Rules Governing Risk Mitigation Techniques for Uncleared Security-Based Swaps

USA - February 12 2020 On December 18, 2019, the Securities and Exchange Commission (the SEC or Commission) adopted new rules pursuant to Title VII of the Dodd-Frank Wall…

Aaron Friedman, Bruce H. Newman.

SEC Adopts Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements

USA - February 12 2020 On December 18, 2019, the Securities and Exchange Commission (SEC) adopted a package of rule amendments, guidance and a related order to expand and…

Aaron Friedman, Bruce H. Newman.

The SEC’s Security-Based Swap Recordkeeping and Reporting Rules

USA - February 12 2020 On September 19, 2019, the Securities and Exchange Commission (SEC or Commission) adopted new rules and amendments establishing recordkeeping and…

Aaron Friedman, Bruce H. Newman.

The SEC Adopts Security-Based Swap Rules Governing Capital, Margin and Segregation

USA - July 22 2019 On June 21, 2019, the Securities and Exchange Commission (SEC or Commission) adopted a package of rules and rule amendments (Rules)…

Paul M. Architzel, Jeannette K. Boot, Aaron Friedman, Bruce H. Newman, Petal Walker.