Dealers scramble to meet SEC swaps rule deadline

Dealers battle buy-side inertia and eleventh-hour confusion as belated security-based swap rules bite

US securities and exchange commission
The Securities and Exchange Commission

The Securities and Exchange Commission’s (SEC) delayed security-based swap rules are causing headaches across the industry. Late changes, harsher demands on home regulators and divergence from the Commodity Futures Trading Commission (CFTC) swap rules have created widespread confusion and slowed compliance.

Days before the November 1 registration deadline, dealers report several buy-side client firms are dragging their feet.

“Everybody is doing it last minute; all the systems are overflowing

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