Sector Regulation Sector Regulation

US SEC’s 'long overdue' rules for security-based swap dealers due to go into effect in November, Gensler says

By Neil Roland
  • 27 Jul 2021 14:23
  • 31 Jul 2021 04:10
The US Securities and Exchange Commission’s “long overdue” rules on registration of security-based swap dealers and transaction-by-transaction reporting by these dealers are due to go into effect in November, over five years after their adoption, SEC Chair Gary Gensler said.
“The rules going live this fall will increase transparency and

To view the latest version of this document and thousands of others like it, sign-in to MLex or register for a free trial.

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.

Discover MLex

Stay on top of global regulatory developments

Latest News