U.S. Derivatives Recordkeeping Regulation for Security-Based Swaps

Financial Services attorney Douglas Youngman authored a LexisNexis Practical Guidance® article analyzing recordkeeping and reporting requirements for security-based swap dealers, major security-based swap participants and broker-dealers. In 2019, the U.S. Securities and Exchange Commission (SEC) adopted a final set of rules establishing the reporting, recordkeeping and notification regime for security-based swaps, and the initial compliance date was in October 2021. In this article, Mr. Youngman details what exactly these requirements are and how swap dealers and participants can maintain compliance with them.

READ: U.S. Derivatives Recordkeeping Regulation for Security-Based Swaps (Subscription required)