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SEC RIN: 3235-AK74 Publication ID: 2012 
Title: Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies; Security-Based Swap Execution Facilities, and National Exchanges 
Abstract: The Commission proposed regulations to impose ownership and voting limits and governance arrangements applicable to security-based swap execution facilities, and security-based swap exchanges to mitigate potential conflicts of interest that could exist at those entities. 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 242   
Legal Authority: PL 111-203 sec 765    PL 111-203 sec 763    15 USC 78c    15 USC 78f    15 USC 78k-1    15 USC 78q-1    15 USC 78w(a)   
Legal Deadline:
Action Source Description Date
Final  Statutory  PL 111-203, sec 765. Section 765 of the Dodd-Frank Wall Street Reform and Consumer Protection Act requires the Commission to adopt rules with respect to security-based swap execution facilities with  01/18/2011 
Action Date FR Cite
NPRM  10/25/2010  75 FR 65882   
NPRM Comment Period End  11/26/2010    
NPRM Comment Period Extended  03/08/2011  76 FR 12654   
NPRM Comment Period Extended End  04/29/2011    
Final Action  06/00/2013 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Small Entities Affected: No  Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL:  
RIN Data Printed in the FR: No 
Agency Contact:
Dawn Jessen
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5588
Fax:202 772-9270

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