federal_register: 2016-10918

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document_number title type abstract publication_date pub_year pub_month html_url pdf_url agency_names agency_ids excerpts regulation_id_numbers
2016-10918 Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants Rule 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. 2016-05-13 2016 5 https://www.federalregister.gov/documents/2016/05/13/2016-10918/business-conduct-standards-for-security-based-swap-dealers-and-major-security-based-swap https://www.govinfo.gov/content/pkg/FR-2016-05-13/pdf/2016-10918.pdf Securities and Exchange Commission 466 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...  

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