Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

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Thursday, June 30, 2011

SEC Proposes Rules Imposing Business Conduct Standards on Security-Based Swap Dealers

The SEC voted to propose rules that would impose certain business conduct standards upon security-based swap dealers and major security-based swap participants when those parties engage in security-based swap transactions.  The SEC’s proposed rules stem from Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, which authorizes the Commission to implement a comprehensive framework for regulating the over-the-counter swaps markets.

Public comments on the SEC’s proposal should be received by Aug. 29, 2011.

http://lawprofessors.typepad.com/securities/2011/06/sec-proposes-rules-imposing-business-conduct-standards-on-security-based-swap-dealers.html

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