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SEC finalizes business conduct standards
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Commodities, Derivatives
Tuesday, April 19, 2016
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Title VII of the Dodd-Frank Act authorizes the Securities and Exchange Commission to implement a framework for regulating the over-the-counter security-based swap markets. Now, the commission has announced the adoption of final rules that will implement a comprehensive set of business conduct standards and chief compliance officer requirements for security-based swap dealers and major security-based swap participants. Read on to learn more.
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