Market regulation · 23/11/2012

Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers

The Securities and Exchange Commission is proposing new capital and margin requirements for security-based swap dealers and major security-based swap participants, as well as segregation requirements and notification rules. The proposal aims to strengthen oversight of these entities, which include firms such as Goldman Sachs and Morgan Stanley.