Wednesday, December 29. 2021

SEC Proposes Rules to Prevent Security-Based Swaps Fraud and Manipulation, Ensure CCO Independence, and Require Position Reporting

The SEC voted on December 15th to propose rules that would address misconduct in the security-based swap (SBS) market, promote compliance with the Federal securities laws by security-based swap dealers and major security-based swap participants (SBS Entities), and increase transparency in the security-based swap market. Continue reading "SEC Proposes Rules to Prevent Security-Based..." »
Posted by
LeAnn Dey
in SEC at 11:05
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