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Keywords: Security-based swap dealer
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2016) 17 (3): 31–38.
Published: 05 September 2016
...Paul M. Architzel; Dan M. Berkovitz; Gail Bernstein; Seth Davis; Ted Serafini Purpose To analyze the differences between the SEC’s newly adopted final business conduct rules for security-based swap dealers and major security-based swap participants under Section 15F(h) of the Securities Exchange...
