Security-Based Swaps, Insider Trading and More

Betty Q. Hixson

SEC Approves Proposal to Apply FINRA Rules to Security-Based Swaps The SEC approved a FINRA proposal to address the application of FINRA rules to security-based swaps (“SBS”). As previously covered, the proposal amends FINRA Rules 0180 (“Application of Rules to Security-Based Swaps”), 4120 (“Regulatory Notification and Business Curtailment”), 4210 (“Margin Requirements”), 4220 (“Daily Record of Required Margin”), 4240 (“Margin Requirements for Credit Default […]