Notice
28 May 2025
compliance, regulation, securities, financial services, dodd-frank act, business conduct standards
📈Proposed Business Conduct Standards for Swap Dealers and Participants
The SEC is seeking comments on proposed information collection related to business conduct standards for security-based swap dealers and major participants. This initiative aims to enhance transparency and investor protection within the security-based swap market, requiring detailed disclosures and compliance measures for involved entities.
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