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Regulatory Requirements Broker-Dealer Margin Requirements

Mayer Brown Free Writings + Perspectives

SEC Staff Issues Guidance on Rule 15c3-3a and Treasury Clearing

On August 6, 2025, the Staff of the Division of Trading and Markets of the Securities and Exchange Commission (SEC) released an updated set of Frequently Asked Questions (FAQs) addressing the application of Rule 15c3-3a to...more

Cadwalader, Wickersham & Taft LLP

The SEC Adopts Security-Based Swap Regulations Governing Capital, Margin and Collateral Segregation

The Securities and Exchange Commission ("SEC") has adopted rules under the Securities Exchange Act (the "SEA") establishing (i) capital and margin requirements applicable to broker-dealers entering into security-based swaps...more

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