Open Meeting Agenda

Thursday, October 11, 2018

Item 1: Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
Office: Division of Trading and Markets
Staff: Brett Redfearn, Elizabeth Baird, Michael Macchiaroli, Thomas McGowan, Randall Roy, Sheila Swartz, Raymond Lombardo, Valentina Deng, and Tim Fox

The Commission will consider whether to reopen the comment period and request additional comment (including potential modifications to proposed rule language) regarding: (1) capital, margin, and segregation requirements for security-based swap dealers and major security-based swap participants, and amendments to Rule 15c3-1 for broker-dealers proposed in October 2012; (2) amendments proposed in May 2013 that would establish the cross-border treatment of security-based swap capital, margin, and segregation requirements; and (3) an amendment proposed in April 2014 that would establish an additional capital requirement for security-based swap dealers that do not have a prudential regulator.

For further information, please contact Randall Roy in the Division of Trading and Markets at 202-551-5522.