Final Rule
Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
Overview
In accordance with Section 764 of Title VII ("Title VII') of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act'), the Securities and Exchange Commission ("SEC' or "Commission') is adopting new rules under the Securities Exchange Act of 1934 ("Exchange Act') that are intended to implement provisions of Title VII relating to business conduct standards and the designation of a chief compliance officer for security-based swap dealers and major security-based swap participants. The final rules also address the cross-border application of the rules and the availability of substituted compliance.
Prior Actions
Proposed Rule (34-69491)
Release Number
34-69491
SEC Issue Date
May 1, 2013
Federal Register Publish Date
May 23, 2013
Document Citation
78 FR 30800
RIN
3235-AK74, 3235-AK77, 3235-AK79, 3235-AK80, 3235-AK88, 3235-AK91, 3235-AK93, 3235-AL05, 3235-AL10, 3235-AL12, 3235-AL13
Proposed Rule (34-64766)
Release Number
34-64766
SEC Issue Date
June 29, 2011
Federal Register Publish Date
Aug. 3, 2011
Document Citation
76 FR 46668
RIN
3235-AL10
Resources
Details
File Number
S7-25-11
Rule Type
Final
Release Number
34-77617
SEC Issue Date
April 14, 2016
Effective Date
July 12, 2016
Compliance Date
The compliance dates are discussed in Section IV.B of this
Federal Register Publish Date
May 13, 2016
Document Citation
81 FR 29959
RIN
3235-AL10