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SEC amends, issues guidance on security-based swap reporting rules

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SEC amends, issues guidance on security-based swap reporting rules

The SEC has adopted amendments and guidance related to rulesregarding the regulatory reporting and public dissemination of security-based swaptransactions, known as RegulationSBSR.

Among other things, the final rules assign the reporting dutiesfor platform-executed security-based swaps that will be submitted to clearing andfor security-based swaps resulting from the clearing process, establish regulatoryreporting and public dissemination requirements for certain cross-border security-basedswaps, and prohibit registered swap data repositories from imposing fees or usagerestrictions on the security-based swap transaction data that the regulation requiresthem to publicly disseminate.

The SEC also issued guidance with respect to the applicationof the regulation to security-based swaps resulting from prime broker arrangementsand from the allocation of cleared security-based swaps. Additionally, the rulesestablish a new compliance schedule for the portions of the regulation for whichthe SEC has not previously specified compliance dates.

If approved for publication by the SEC, the rules will be publishedon the commission website and in the Federal Register. They will become effective60 days after publication in the Federal Register.