SECURITIES/SECTION 20/BROKER-DEALER

摘要

The Commission is taking two actions to continue to advance the availability of substituted compliance for certain non-U.S. security-based swap dealers and major security-based swap participants, in anticipation of those firms' registration with the Commission beginning October 6,2021. The Commission is publishing notice of an application by the UK's Financial Conduct Authority (FCA), requesting substituted compliance for UK-regulated security-based swap dealers and major security-based swap participants. The Commission also is publishing a proposed order to conditionally provide substituted compliance to UK-regulated firms. The Commission is also re-opening the comment period on the notice of substituted compliance application by France's Autorite des Marches Financiers (AMF) and Autorite de Controle Prudentiel et de Resolution (ACPR) and the related proposed substituted compliance order.