New Rules Coming on Security-Based Swaps

Thoughtware Alert Published: Feb 03, 2022
Advisor going over accounting work

Security-based swaps (SBS) include credit default swaps and total return swaps on equity securities. The size of these markets has grown dramatically in recent years. On December 15, 2021, the SEC proposed new rules requiring that large SBS positions be reported to the SEC and restricting SBS dealer personnel from unduly influencing chief compliance officers in the performance of their duties. This article provides details on the new rules.   

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