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The Securities Exchange Commission (SEC) adopted two new rules on June 7 aimed at preventing fraud and manipulation specific to security-based swap (SBS) transactions and the entities that trade...
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.
On June 7, 2023, the Securities and Exchange Commission (SEC) adopted two new rules to address misconduct in the security-based swaps market. The first rule prohibits fraud,...
Statement on Rules Regarding Prohibitions Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps and Against Undue Influence over…
<p><span>Thank you, Chair Gensler. The final rules under consideration are in regard to prohibitions against fraud, manipulation, or deception in connection with security-based swaps and also include a prohibition against undue influence over chief compliance officers. The Adopting Release proclaims that the final rule “is designed to prevent fraud, manipulation, and deception in connection with effecting any transaction in, or attempting to effect any transaction in, or purchasing or selling, or inducing or attempting to induce the purchase or sale of...