1. Regulations
  2. title 17
  3. chapter II-i2
  4. part 242
  5. subjgrp 7
  6. § 242.828

View all text of Subjgrp 7 [§ 242.800 - § 242.835]

§ 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(a), 77s(a), 78b, 78c, 78c-4, 78g(c)(2), 78i(a), 78j, 78k-1(c), 78

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

CITE AS: 17 CFR 242.828