federal_register: 2018-24213

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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
2018-24213 Commission Statement on Certain Provisions of Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants Rule The Commission is issuing a statement regarding certain provisions of its Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants. The statement sets forth the Commission's position, for five years after the compliance date for the security-based swap dealer and major security-based swap participant registration rules, that certain actions with respect to provisions of the Commission's business conduct standards will not provide a basis for a Commission enforcement action. 2018-11-06 2018 11 https://www.federalregister.gov/documents/2018/11/06/2018-24213/commission-statement-on-certain-provisions-of-business-conduct-standards-for-security-based-swap https://www.govinfo.gov/content/pkg/FR-2018-11-06/pdf/2018-24213.pdf Securities and Exchange Commission 466 The Commission is issuing a statement regarding certain provisions of its Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants. The statement sets forth the Commission's position, for five years after... 3235-AL10

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