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| 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:
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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. |
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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/2010/34-23236.pdf | |
| RIN Data Printed in the FR: No | |
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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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