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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:
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Timetable:
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Regulatory Flexibility Analysis Required: No | Government Levels Affected: None |
Small Entities Affected: No | Federalism: No |
Included in the Regulatory Plan: No | |
RIN Information URL: www.sec.gov./rules/proposed/2011/34-64018.pdf | |
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 Email: jessend@sec.gov |