GroundRules
17 CFR 242.828: Core Principle 11—Conflicts of interest.
Where this section sits in the code
- Title 17—Commodity and Securities Exchanges
- CHAPTER II—SECURITIES AND EXCHANGE COMMISSION
- PART 242—REGULATIONS M, SHO, ATS, AC, NMS, SE, AND SBSR, AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES
(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.
Collected 2026-08-27T02:24:31Z. Source file · JSON