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.