Core Principle 11—Conflicts of interest.

17 C.F.R. § 242.828
in effectEffective: 2024-07-01
Sign in to generate a plain English summaryAsk Belisarius Agent
(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.

Starting a business? Corpus forms LLCs in all 50 states and DC.