Conduct standards

September 2012
- Tuesday 11
  - Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants
April 2012
- Tuesday 03
  - Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission Merchants
March 2011
- Thursday 10
  - Requirements for Processing, Clearing, and Transfer of Customer Positions
December 2008
- Monday 01
  - Conduct of Employees and Former Employees; Exemption From Post-Employment Restrictions for Communications; Furnishing Scientific or Technological Information
August 2006
- Monday 21
  - Supplemental Standards of Ethical Conduct for Employees of the Department of Energy and Residual Department Standards Regulation
November 2004
- Wednesday 03
  - Standards of Conduct and Employee Restrictions and Responsibilities

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