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Email The SEC has published proposed recordkeeping, reporting and capital deficiency notification requirements that would apply to security-based swap dealers (“SBSDs”) and major security-based swap participants (“MSBSPs”) as well as to other SEC-registered broker-dealers that enter into security-based swaps. The proposing Release contains a number of largely non-substantive, technical amendments to the existing recordkeeping and reporting requirements applicable to broker-dealers. https://www.cadwalader.com/resources/clients-friends-memos/sec-sbsd-recordkeeping-and-reporting-proposal