FINRA Offers New Swaps Relief
Compliance officers who breathed a sigh of relief when the Securities and Exchange Commission delayed the effective date of new security-based swap rules have more good news: the Financial Industry Regulatory Authority has agreed to temporarily exempt security-based swaps from several rules.
Unlock this article.
The content you are trying to view is exclusive to our subscribers.
To unlock this article:
- ✔ 4,000 annual insights
- ✔ 700+ notes and long-form analyses
- ✔ 4 capital markets databases
- ✔ Daily newsletters across markets and asset classes
- ✔ 2 weekly podcasts
