1-Hour Program

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On December 18, 2019, the Securities and Exchange Commission (the “Commission”) adopted rule amendments, guidance, and a related order that complete the Commission’s regulatory framework in connection with security-based swaps.  Publication of the rule amendments in the Federal Register triggers the compliance schedule within which security-based swap entities must register with the Commission and such entities and other security-based swap market participants must come into compliance with previously adopted rules pursuant to Title VII of the Dodd-Frank Act. 

During this One-Hour Briefing, Curtis A. Doty, Matthew F. Kluchenek and Marlon Paz of Mayer Brown LLP will discuss:

  • The compliance schedule for the various aspects of the new regulatory framework; 
  • How to identify transactions that are security-based swaps;
  • How to determine eligibility for the de minimis exemption from dealer registration; 
  • The principal regulatory obligations of security-based swap dealers, including how the framework applies to broker-dealers and banks;
  • Counterparty documentation requirements;
  • The extent to which compliance with CFTC swap regulations will satisfy obligations under the Commission’s new framework; and
  • The cross-border application of the new framework.


Program Level:  Update 

Intended Audience:  Corporate, securities, derivatives and financial services attorneys, compliance professionals, asset managers, investment advisers, trading firms, bankers and allied professionals involved  in structuring, negotiating and executing security-based swap agreements and other derivative products  

Prerequisites:  None 

Advanced Preparation: None 


Credit Details

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