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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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SEC Adopts Rules To Prohibit Fraud Related to Security-Based Swaps and Exertion of Undue Influence Over SBS Swap Dealer CCOs | Skadden, Arps, Slate, Meagher & Flom LLP

On June 7, 2023, the Securities and Exchange Commission (SEC) adopted two new rules to address misconduct in the security-based swaps market. The first rule prohibits fraud,. ....

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Statement On Rules Regarding Prohibitions Against Fraud, Manipulation, Or Deception In Connection With Security-Based Swaps And Against Undue Influence Over Chief Compliance Officers, SEC Commissioner Mark T. Uyeda, June 7, 2023

<p><span>Thank you, Chair Gensler.  The final rules under consideration are in regard to prohibitions against fraud, manipulation, or deception in connection with security-based swaps and also include a prohibition against undue influence over chief compliance officers.  The Adopting Release proclaims that the final rule “is designed to prevent fraud, manipulation, and deception in connection with effecting any transaction in, or attempting to effect any transaction in, or purchasing or selling, or inducing or attempting to induce the purchase or sale of, any security-based swap.”</span><span>  The Adopting Release further states that “[t]he rule takes into account the features fundamental to a security-based swap.”</span></p> ....

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SEC Reopening Comment Period on Several Key Proposed Rules After Technical Error

The SEC on Oct. 7, 2022, reopened the comment period for 11 rule making proposals, one request for comment and eight Self-Regulatory Organization… ....

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United States: SEC Reopens Comment Period for Eleven Significant Rulemaking Releases

On October 7, 2022, the Securities and Exchange Commission (the “SEC”) announced that, due to a technological error, it was reopening the public… ....

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