Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants

As required by Title VII of the Dodd-Frank Act, the new section 15F(h) of the Exchange Act will establish business conduct standards for security-based swap ("SBS") dealers and major security-based swap participants in their dealings with counterparties, including special entities. The proposed rules also establish regulations for the chief compliance officer functions within an SBS dealer or major SBS participant. The Commission has also included certain other business conduct requirements for SBS dealers that we believe further the principles that underlie the Dodd-Frank Act.

The latest form for Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants expires 2022-09-30 and can be found here.

15Fh-3(a) - Verification of Status

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight