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Securities Exchange Act › SBS Entities › Securities and Exchange Commission (SEC)

The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +
The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange Commission (SEC), which is the primary regulatory agency enforcing federal securities laws. less -
Latham & Watkins LLP

SEC Launches Regulation for Security-Based Swap Execution Facilities

Latham & Watkins LLP on

Regulation SE, the last of the Title VII Dodd-Frank rulemakings, will become effective on February 13, 2024. The Securities and Exchange Commission (SEC) has taken a significant step in enhancing the regulatory landscape...more

Lowenstein Sandler LLP

SEC Adopts Rules to Combat Fraud and Undue Influence in the Security-Based Swap Market

Lowenstein Sandler LLP on

On June 7, 2023, the Securities and Exchange Commission (“SEC”) adopted, pursuant to the Securities Exchange Act of 1934 (“Exchange Act”), (i) new Rule 9j-1 to combat fraud, manipulation, and deception in connection with...more

Goodwin

SEC to Enhance Its Regulation of Security-Based Swaps

Goodwin on

As we have previously discussed, the SEC’s Fall 2022 “Reg Flex” Agenda charts the agency’s planned rulemaking through Q1 2023. Among this ambitious and wide-reaching agenda are two important final rulemakings concerning the...more

Skadden, Arps, Slate, Meagher & Flom LLP

"SEC Finalizes Registration Rules for Security-Based Swap Entities"

Skadden, Arps, Slate, Meagher & Flom LLP on

On August 5, 2015, the Securities and Exchange Commission (SEC) adopted final registration rules for security-based (SB) swap dealers and major SB swap participants (collectively SBS Entities). Concurrently, the SEC also...more

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