SEC Eyes Swap Dealers' Customer Asset Safeguards
Published Date: 9/25/2025
Notice
Summary
The SEC is asking to keep collecting info under Rule 18a-4, which helps monitor how certain swap dealers handle customer assets safely. This affects non-broker-dealer swap dealers and major participants, requiring them to share info about their security-based swap transactions. The process takes about 8,500 hours yearly, and the SEC wants your feedback by early October to keep things clear and efficient.
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