By Aaron Nicodemus2023-11-06T12:28:00
The Securities and Exchange Commission (SEC) approved new regulations for security-based swap execution facilities, part of the agency’s steady progress in implementing languishing rules from the Dodd-Frank Act of 2010.
Security-based swap execution facilities will be required to register with the SEC and submit to a regulation regime, the agency announced Thursday in a press release. The new regulatory regime will mitigate conflicts of interest in the security-based swap market and make it more transparent, said SEC Chair Gary Gensler.
It will also require those entities to hire chief compliance officers to oversee compliance with the new rules.
2024-01-11T17:13:00Z By Aaron Nicodemus
A new risk alert from the Securities and Exchange Commission highlighted common deficiencies and weaknesses in the compliance programs of security-based swap dealers.
2023-11-28T14:25:00Z By Kyle Brasseur
The Securities and Exchange Commission moved quickly to adopt an unfulfilled mandate of the Dodd-Frank Act to prevent the sale of certain securities if there is a conflict of interest.
2023-11-16T19:54:00Z By Kyle Brasseur
The Securities and Exchange Commission continued its recent run of pushing through remaining regulations under the Dodd-Frank Act of 2010 by adopting new rules to mitigate conflicts of interest for security-based swap clearing agencies.
2025-08-28T20:40:00Z By Aaron Nicodemus
The order barring three Mexican financial institutions from doing business with U.S. financial institutions has been delayed until October.
2025-08-27T19:46:00Z By Aly McDevitt
The SEC has named Margaret “Meg” Ryan, a senior military judge and Harvard Law lecturer, as its next Enforcement Division Director—an unconventional pick that could signal changes in enforcement strategy.
2025-08-22T19:05:00Z By Adrianne Appel
Businesses operating in California will need to meet new, first-in-the-nation privacy requirements for cybersecurity, risk assessments, and automated decision-making technology, under a large expansion of rules by the state.
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