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  • Open Daily: 10am - 10pm
    Alley-side Pickup: 10am - 7pm

    3038 Hennepin Ave Minneapolis, MN
    612-822-4611

Open Daily: 10am - 10pm | Alley-side Pickup: 10am - 7pm
3038 Hennepin Ave Minneapolis, MN
612-822-4611
SEC Risk Mitigation Techniques for Uncleared Security-Based Swaps: File No. S7-28-18

SEC Risk Mitigation Techniques for Uncleared Security-Based Swaps: File No. S7-28-18

Sec

Paperback

Investing & Finance

ISBN10: 1792012993
ISBN13: 9781792012990
Publisher: Independently Published
Published: Dec 20 2018
Pages: 244
Weight: 1.27
Height: 0.51 Width: 8.50 Depth: 11.00
Language: English
This PRINT REPLICA of the SEC Risk Mitigation Techniques for Uncleared Security-Based Swaps (File Number S7-28-18) by the Securities and Exchange Commission (SEC) was released December 19, 2018. The SEC is proposing rules that would require the application of specific risk mitigation techniques to portfolios of security-based swaps not submitted for clearing. In particular, the proposal would establish requirements for each registered security-based swap dealer (SBS dealer) and each registered major security-based swap participant (major SBS participant) (each SBS dealer and each major SBS participant hereafter referred to as an SBS Entity and together referred to as SBS Entities) with respect to, among other things, reconciling outstanding security-based swaps with applicable counterparties on a periodic basis, engaging in certain forms of portfolio compression exercises, as appropriate, and executing written security-based swap trading relationship documentation with each of its counterparties prior to, or contemporaneously with, executing a security-based swap transaction.

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