Monday, April 5, 2021

SEC Issues Notice of Substituted Compliance Application and Proposed Substituted Compliance Order for United Kingdom and Re-Opens Comment Period for Notice and Proposed Substituted Compliance Order for France

The Securities and Exchange Commission voted to take two actions to continue to advance implementation of security-based swap regulation under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act.  The Commission is publishing…

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