Regulacje i polityka gospodarcza · 26/10/2021

SEC Issues New Order for Security-Based Swap Dealers and Non-US Persons

The US Securities and Exchange Commission (SEC) has issued a new order specifying the manner and format for filing unaudited financial and operational information by security-based swap dealers and major security-based swap participants that are not US persons and are relying on substituted compliance determinations with respect to Rule 18a-7.