The SEC Division of Trading and Markets issued new guidance for chief compliance officers submitting annual reports on behalf of security-based swap dealers.
The new FAQ addresses (1) the method and format for submitting the report (through the EDGAR system); (2) when the reports are due; and (3) how firms may request an extension of time to submit reports.
Primary Sources
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
We operate a free-to-view policy, asking only that you register in order to read all of our content. Please login or register to view the rest of this article.
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
