17 CFR 242.828 - Core Principle 11—Conflicts of interest.

Regulations last checked for updates: May 15, 2024

Title 17 - Commodity and Securities Exchanges last revised: May 01, 2024

§ 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.

authority: 15 U.S.C. 77g,77q,77s,78b,78c,78c-4,78g,78i,78j,78k,78

source: 62 FR 544, Jan. 3, 1997, unless otherwise noted.

cite as: 17 CFR 242.828