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View EO 12866 Meetings Printer-Friendly Version     Download RIN Data in XML

SEC RIN: 3235-AK77 Publication ID: 2012 
Title: Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps 
Abstract: The Commission proposed for comment a new rule, Rule 9j-1 under the Exchange Act, to prevent fraud, manipulation, and deception in connection with the offer, purchase, or sale of any security-based swap; the exercise of any right or performance of any obligation under a security-based swap; or the avoidance of such exercise or performance. 
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 240.9j-1   
Legal Authority: 15 USC 78b    15 USC 78c(b)    15 USC 78i(i)    15 USC 78i(j)    15 USC 78j    15 USC 78o    15 USC 78o-8    15 USC 78w(a)   
Legal Deadline:
Action Source Description Date
Final  Statutory    07/16/2011 

Overall Description of Deadline: The Dodd-Frank Act requires the Commission to adopt a final rule under section 736(g) of title VII no later than 360 days after its enactment.

Action Date FR Cite
NPRM  11/08/2010  75 FR 68560   
NPRM Comment Period End  12/23/2010    
Final Action  03/00/2013 
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:
Christian Sabella
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5997

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