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SEC Swaps The Game: New Rules To Combat Fraud, Manipulation And CCO Undue Influence - Securities

The Securities Exchange Commission (SEC) adopted two new rules on June 7 aimed at preventing fraud and manipulation specific to security-based swap (SBS) transactions and the entities that trade. ....

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SEC Adopts Two New Rules to Combat Fraud

The SEC adopted two new rules on June 7 aimed at preventing fraud and manipulation specific to security-based swap transactions and the entities that trade them, including a unique rule preventing undue influence over chief compliance officers. ....

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