SEC Adopts Two New Rules to Combat Fraud

The SEC adopted two new rules on June 7 aimed at preventing fraud and manipulation specific to security-based swap transactions and the entities that trade them, including a unique rule preventing undue influence over chief compliance officers.

Related Keywords

Peterb Driscoll ,Gary Gensler ,Markt Uyeda ,Marka Elste ,Aaron ,Authority Nov ,Securities Exchange Commission ,Securities Exchange ,Securities Exchange Act ,Exchange Act ,Securities Act ,Adopting Release ,Investment Advisers Act ,Rules Regarding Prohibitions Against Fraud ,Security Based Swaps ,Prohibition Against Fraud ,Undue Influence ,Chief Compliance Officers ,With Authority ,Pekin Singer Strauss Asset ,Advisers Act ,Legal ,Business ,Government ,Ec ,Security Law ,Security Based Swap ,Jobs ,Co ,Ule 10 B ,Section 17a ,Nti Fraud Rulings ,