Securities and Exchange Commission Final Rule

2016-10918: Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants

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Summary

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.

The agency’s own summary, as published.

What this changes

Amends 1 part of the Code of Federal Regulations — the standing rules this notice rewrites.

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