Commission Statement on Certain Provisions of Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
SEC · other · Published 2018-11-06 · Effective 2018-11-06 · 83 FR 55486
Document
Document number
2018-24213
Federal Register citation
83 FR 55486
CFR reference
17 CFR 240
Type
Rule
Action
Commission statement.
Category
other
Agency
US Securities and Exchange Commission
Publication date
2018-11-06
Effective date
2018-11-06
Docket
Release No. 34-84511
Abstract
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.