Nolan, Anthony R.G.; Gault‐Brown, Susan I.; Patent, … - In: Journal of Investment Compliance 13 (2012) 4, pp. 25-36
Purpose – The purpose of this paper is to explain a final rule adopted by the SEC and the CFTC that clarifies Dodd‐Frank Act definitions for the new terms “swap dealer,” “security‐based swap dealer,” “major swap participant” and “major security‐based swap participant...