All security-based swaps articles
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News BriefSEC rule prohibits manipulating CCOs at security-based swaps
The Securities and Exchange Commission adopted two rules aimed at curbing potential misconduct in the security-based swaps market.
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ArticleSEC proposes Dodd-Frank rule requiring security-based swaps to hire CCOs
The Securities and Exchange Commission proposed a regulatory framework for security-based swap execution facilities that will require these entities to hire a chief compliance officer to oversee compliance with new rules.
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ArticleSEC rulemaking frenzy: New proposals for security-based swaps, mutual funds, share buybacks
The SEC and its Democratic majority ushered in a slew of rulemaking proposals Wednesday that include new disclosure requirements for the security-based swaps market, mutual funds, and share buyback arrangements.