Tag: SEC

SEC Proposes Rules for Risk Mitigation of Security-Based Swaps

The Commission is requesting comment on how certain aspects of the proposed rules address how a security-based swap data repository could potentially satisfy its obligation to verify the terms of each security-based swap with both counterparties to the transaction.

Barry’s Pickings: The Possibility of a ‘Provider’s ERISA’

Michael Barry, president of October Three (O3) Plan Advisory Services LLC, discusses how the Securities and Exchange Commission’s (SEC)’s broker/investment adviser standard-of-conduct proposal would be necessary to the creation of a provider-based retirement system.