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.
Document
Commission Statement on Certain Provisions of Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
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. ...
Legal Citation
Federal Register Citation
Use this for formal legal and research references to the published document.
83 FR 55486
Web Citation
Suggested Web Citation
Use this when citing the archival web version of the document.
“Commission Statement on Certain Provisions of Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants,” thefederalregister.org (November 6, 2018), https://thefederalregister.org/documents/2018-24213/commission-statement-on-certain-provisions-of-business-conduct-standards-for-security-based-swap-dealers-and-major-secur.