Securities and Exchange Commission August 2021 – Federal Register Recent Federal Regulation Documents
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Notice of Application for the Amendment of Substituted Compliance Determination Regarding Security-Based Swap Entities Subject to Regulation in the Federal Republic of Germany; Proposed Amendments to Order
The Securities and Exchange Commission (``Commission'') is soliciting public comment on an application by the Bundesanstalt f[uuml]r Finanzdienstleistungsaufsicht (``BaFin''), pursuant to rule 3a71-6 under the Securities Exchange Act of 1934 (``Exchange Act''), requesting that the Commission amend an existing substituted compliance Order for Germany to extend the Order to nonbank capital and margin requirements (the ``Amended Application''). The Commission also is soliciting comment on proposed amendments to the Order and is proposing to amend and restate the Order (the ``proposed Amended Order'').
Notice of Substituted Compliance Application Submitted by UBS AG and Credit Suisse AG in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers Subject to Regulation in the Swiss Confederation; Proposed Order
The Securities and Exchange Commission (``Commission'') is soliciting public comment on an application by UBS AG and Credit Suisse AG (the ``Swiss Firms'') requesting that, pursuant to rule 3a71-6 under the Securities Exchange Act of 1934 (``Exchange Act''), the Commission determine that registered security-based swap dealers (``SBSDs'') that are not U.S. persons and that are subject to certain regulation in the Swiss Confederation (``Switzerland'') may comply with certain requirements under the Exchange Act via compliance with corresponding requirements of Switzerland. The Commission also is soliciting comment on a proposed Order providing for conditional substituted compliance in connection with the application.
Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Correction
On September 19, 2019, the Securities and Exchange Commission (the ``Commission'') adopted recordkeeping, reporting, and notification requirements applicable to security-based swap dealers and major security-based swap participants, securities count requirements applicable to certain security-based swap dealers, and additional recordkeeping requirements applicable to broker-dealers to account for their security-based swap and swap activities. Release 34-87005 (Sept. 19, 2019) was published in the Federal Register on Dec. 16, 2019 (84 FR 68550). This document corrects a technical inaccuracy in that release.
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