Sector Regulation Sector Regulation

LEI requirement included in US SEC swap-execution facility plan

By Neil Roland
  • 06 Apr 2022 15:17
  • 06 Apr 2022 15:24
Legal entity identifiers would be required under rules the US Securities and Exchange Commission proposed today for the registration and regulation of security-based swap execution facilities.

The facilities, which are electronic swaps-trading venues, would have to adopt the identifiers used to track firms’ risk exposure and submit their unique 20-digit tags in government

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Neil Roland

Senior Correspondent


Neil has covered U.S. financial regulation for over two decades, mostly for Bloomberg and Crain Communications. He received a Loeb award for coverage of regulators' response to the collapse of Enron. He also garnered a SABEW award and some Jesse H. Neal awards for stories on the Federal Reserve's response to the 2008 financial crisis. Roland has appeared as a commentator on Fox TV, NPR, C-Span and Bloomberg TV. He received a Master's degree in public policy from Harvard and a Bachelors degree in economics from Cornell.

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