Notice
19 Sep 2025
sec, risk management, nonbank sbds, rule 18a-1, net capital requirements, financial regulation
📈SEC Notice on Information Collection Activities for Rule 18a-1
The SEC is submitting a request for an extension of information collection activities under Rule 18a-1, which establishes net capital requirements and risk management standards for stand-alone security-based swap dealers. This notice includes details on compliance obligations and estimated burdens associated with the rule's implementation.
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