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US Derivatives Regulation: SEC Security-Based Swap Business Conduct Standards
Practical Law Practice Note w-002-4364 (Approx. 12 pages)
US Derivatives Regulation: SEC Security-Based Swap Business Conduct Standards
by Practical Law Finance
| Maintained • USA (National/Federal) |
A Practice Note providing an overview of SEC business conduct standards and chief compliance officer (CCO) requirements for security-based swap dealers (SBSDs) and major security-based swap participants (MSBSPs) under Title VII of the Dodd-Frank Act.