Security-based Swap Dealer Registration

West LegalEdCenter Webinar

07/27/2016 12:00 p.m. - 01:00 p.m. EDT

Capital Markets, Banking + Financial Services, Financial Institutions + Financial Services, Derivatives + Commodities, Derivatives + Commodities Regulation, and Financial Services

James Schwartz


Although the SEC has taken longer than the CFTC has in finalizing its rules under Title VII of Dodd-Frank, it has made steady progress, and swap dealing entities are now thinking about the steps they will be required to take to register with the SEC as security-based swap dealers. In this webcast we will discuss those steps.

Topics will include:

  • The SEC’s registration rule for security-based swap dealers;
  • Its other security-based swaps rulemakings; and
  • The likely timing for registration.


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