Getting Ready for Swaps: New FOCUS Reporting

In June of 2019, the Securities and Exchange Commission (SEC) adopted a new suite of rules and amendments under the Dodd-Frank Act, Title VII. These changes represent a continuation of increased regulatory oversight of security-based swap dealers (SBSD) and major security-based swap participants (MSP). Leading up to the October 2021 implementation, DHG is introducing a series of articles on the new swap rules. This issue provides information on the new format of the FOCUS Part II, which is most pertinent to the financial regulatory groups.

ABOUT THE AUTHORS

Lance Deal
Managing Director
Lance.Deal@dhg.com

William Rogers
Regulatory Leader
DHG Advisory

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