Swaps

"As the collapse of the family office Archegos Capital Management last March showed, security-based swaps continue to have an important impact on our markets. Total ...

"An employee at an SBS Entity planning an opportunistic strategy could attempt to mislead the CCO by submitting false documentation to the CCO in order ...

For SEC commissioners, Dec. 15th produced their greatest productivity of the year, as a mostly divided Commission approved several new proposals, including revisions to money ...

"It wasn’t just Archegos and AIG, though. In 1998, Long-Term Capital Management failed, bringing with it a $100-billion balance sheet and more than $1 trillion ...

"Today’s proposal also includes a rule aimed at protecting the independence and objectivity of security-based swap entities’ chief compliance officers (CCOs) by prohibiting actions to ...

"The proposed rule would seek to safeguard the independence and objectivity of a security-based swap entity’s CCO by preventing the personnel of that entity from ...

"Proposed Rule 10B-1 likewise may serve to squelch legitimate market activity. It requires firms to report publicly large security-based swap positions, along with their positions ...

I also have concerns about proposed Rule 10B-1 regarding public large position reporting

In a rare public meeting scheduled for Dec. 15th, the Commission aims to take up five new rules

Comments should be received on or before January 3, 2022