Search Results - subject:"Security-based swaps"

Dodd-frank implementation update : key differences between the CFTC and SEC final business conduct standards and related cross-border requirements

Architzel, Paul M.; Berkovitz, Dan M.; Bernstein, Gail; … - In: The journal of investment compliance 17 (2016) 3, pp. 31-38

Persistent link: https://www.econbiz.de/10011623077

Dodd-frank implementation update: key differences between the CFTC and SEC final business conduct standards and related cross-border requirements

Architzel, Paul M.; Berkovitz, Dan M.; Bernstein, Gail; … - In: Journal of Investment Compliance 17 (2016) 3, pp. 31-38

Purpose To analyze the differences between the SEC’s newly adopted final business conduct rules for security-based swap dealers and major security-based swap participants under Section 15F(h) of the Securities Exchange Act of 1934 and the parallel rules promulgated under the Commodity Exchange...

Persistent link: https://www.econbiz.de/10014893813