17 CFR 242.828
§ 242.828 Core Principle 11—Conflicts of interest.
United States · 17 CFR — Commodity and Securities Exchanges · Status: effective
Cite this
- Citation
- 17 CFR 242.828, § 242.828 Core Principle 11—Conflicts of interest, United States, version 1 as recorded 2026-07-09, yourstate.us, https://yourstate.us/provision/69533
- Permanent ID
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Full text
(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.
Legislative history
This is a federal regulation, adopted through agency rulemaking under the Administrative Procedure Act — not enacted by a recorded vote of Congress.