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SEC issues statement on certain provisions of business conduct standards for security-based swap dealers and major security-based participants

  • SEC (US Securities and Exchange Commission) Image

Nov 01, 2018

The SEC has issued “Commission Statement on Certain Provisions of Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants.”

The statement provides the Commission’s position, “for a limited time period, that certain actions with respect to specific provisions of the SEC’s business conduct standards for security-based swap dealers and major security-based swap participants will not provide a basis for a Commission enforcement action.”

For more information, see the press release and statement on the SEC’s Web site.

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