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SEC SBSD Recordkeeping and Reporting Proposal

by Steven Lofchie
Cadwalader, Wickersham & Taft LLP - New York Office

Nihal S. Patel
Cadwalader, Wickersham & Taft LLP - New York Office

Jeffrey L. Robins
Cadwalader, Wickersham & Taft LLP - New York Office

April 25, 2014

Previously published on April 23, 2014

The SEC has published proposed recordkeeping, reporting and capital deficiency notification requirements that would apply to security-based swap dealers ("SBSDs") and major security-based swap participants ("MSBSPs") as well as to other SEC-registered broker-dealers that enter into security-based swaps. The proposing Release contains a number of largely non-substantive, technical amendments to the existing recordkeeping and reporting requirements applicable to broker-dealers.


The views expressed in this document are solely the views of the author and not Martindale-Hubbell. This document is intended for informational purposes only and is not legal advice or a substitute for consultation with a licensed legal professional in a particular case or circumstance.

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