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Derivatives

04 September 2019
Donna M Parisi SEC proposes modifications to cross-border application of security-based swaps regime

USA - Shearman & Sterling LLP

The Securities and Exchange Commission (SEC) continues to take steps towards the implementation of its security-based swap (SBS) dealer registration framework. In a recent proposal, the SEC has sought to address certain questions as to the cross-border implementation of its SBS regime and, in some cases, to further harmonise its regulations with the Commodity Futures Trading Commission's swaps regulatory framework.

Authors: Donna M Parisi, Geoffrey B Goldman, Azam H Aziz, Jennifer Oosterbaan
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USA - Shearman & Sterling LLP

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