SEC updates exemptions on security-based swap activities. SEC reviews record for 2020. CFTC and South African Reserve Bank initiative information-sharing cooperation. SEC revises procedures for document submission to EDGAR.

U Can B an SBSD but Not a BD

The Cadwalader Cabinet General Counsel podcast gives legal and compliance professionals a rundown of emerging developments in financial regulation each business day. To learn more, visit www.cadwalader.com/thecabinet.
Hosted by William Sadd and Cheryl Kuntz, Produced by William Sadd, and Engineered by Scott Teplin.

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The Cadwalader Cabinet General Counsel podcast gives legal and compliance professionals a rundown of emerging developments in financial regulation each business day. To learn more, visit www.cadwalader.com/thecabinet. Hosted by William Sadd and Cheryl Kuntz, Produced by William Sadd, and Engineered by Scott Teplin.

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U Can B an SBSD but Not a BD

U Can B an SBSD but Not a BD