01 Jun FINRA – Requesting Comments from Member Firms on Activity Related to Security-Based Swaps (SBS)

May 25, 2020 – Comment Topics Summary
Does the firm, or affiliate, plan to register with SEC as SBS dealer or major participant? In what capacity does your firm participate or plan to participate in SBS transactions? Do personnel arrange, negotiate, or execute SBS transactions for affiliates or clients? What type of security-based swap products does your firm handle or expect to handle? How should FINRA think about the application of its rules to security-based swap activities?

Comment Deadline
FINRA requests that interested persons submit comments no later than July 31, 2020.

For more information, visit www.finra.org