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ARTICLE · 26 OCTOBER 2011
Financial Services Alert – October 25, 2011
Goodwin Procter LLP
As part of its ongoing rulemaking efforts to implement the regulatory scheme for OTC derivatives mandated by the Dodd-Frank Act, the SEC issued a release proposing new rules and forms under the Securities Exchange Act of 1934 (the "Exchange Act") for the registration of (a) security-based swap dealers, as defined in Section 3(a)(71)(A) of the Exchange Act ("SBS Dealers"), and (b) major security-based swap participants, as defined in Section 3(a)(67)(A) of the Exchange Act ("Major SBS Participant
United StatesFinance and Banking
