78 FR 30800
Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
Overview
In accordance with Section 764 of Title VII ("Title VII') of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act'), the Securities and Exchange Commission ("SEC' or "Commission') is adopting new rules under the Securities Exchange Act of 1934 ("Exchange Act') that are intended to implement provisions of Title VII relating to business conduct standards and the designation of a chief compliance officer for security-based swap dealers and major security-based swap participants. The final rules also address the cross-border application of the rules and the availability of substituted compliance.
Prior Actions
76 FR 46668
Last Reviewed or Updated: Oct. 6, 2023
Resources
Details
July 12, 2016
The compliance dates are discussed in Section IV.B of this
81 FR 29959