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On September 19, the SEC adopted new rules and amendments under Title VII of the Dodd-Frank Act establishing recordkeeping and reporting requirements...
On September 19, the SEC adopted new rules and amendments under
Title VII of the Dodd-Frank Act establishing recordkeeping and
reporting requirements for security-based swap dealers and major
security-based swap participants, and amending those requirements
for broker-dealers. The new rules aim to allow the SEC to better
monitor compliance and reduce risk to the market. Release.
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