U.S. Derivatives Recordkeeping Regulation for Security-Based Swaps

The Security Exchange Commission (SEC) adopted a final set of rules, and related amendments, to the Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers. The framework contemplated under the Dodd-Frank Act for U.S. derivative reporting is explored in detail, to aid institutions in the development of compliance processes for security-based swap activity.

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Related Content        

• U.S. Derivatives: SEC/CFTC Joint Rulemaking Authority, Regulatory Oversight and Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
  Access this practice note to gain an overview of the U.S. derivatives market joint regulatory regime following the passage of Title VII of the Dodd-Frank Act along with information on the regulatory oversight and registration for Security-Based Swap Dealer (SBSD) and Major Security-Based Swap Participant (MSBSP).

• U.S. Financial Regulatory Structure following the Dodd-Frank Act
  Explore this practice note which summarizes key changes that the Dodd-Frank Act made to the structure of the U.S. financial regulatory framework and the primary objective of protecting U.S. financial stability.

• Swaps and Security-Based Swaps under Title VII of the Dodd-Frank Act: U.S. Regulation
  Examine the impact of the Dodd-Frank Act on swaps and security-based swaps including the regulation of the over-the-counter derivatives market in the United States.

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