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Final Rule: Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants

Final Rule: Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants

RIN: 3235-AL10

Agency/Agencies: SEC

Federal Register Publication Date: 05/13/2016

Correction: 05/24/2016

Summary: In accordance with Section 764 of Title VII (“Title VII”) of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the SEC adopted new rules under the Securities Exchange Act of 1934 that were 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.

Ianthe Zabel
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