17 C.F.R. § 242.828

Current through October 31, 2024
Section 242.828 - Core Principle 11-Conflicts of interest
(a) The security-based swap execution facility shall:
(1) Establish and enforce rules to minimize conflicts of interest in its decision-making process; and
(2) Establish a process for resolving the conflicts of interest.
(b) A security-based swap execution facility shall comply with the requirements of § 242.834 .

17 C.F.R. §242.828

88 FR 87285 , 2/13/2024