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SEC RIN: 3235-AK88 Publication ID: 2012 
Title: End-User Exception to Mandatory Clearing of Security-Based Swaps 
Abstract: The Commission proposed regulations to implement the exception to mandatory clearing of security-based swaps available to counterparties of security-based swap transactions contained in the Dodd-Frank Act if they (1) are not a financial entity, (2) hedge or mitigate commercial risk, and (3) notify the Commission, in a manner set forth by the Commission, how they meet the financial obligations associated with entering into noncleared security-based swaps. 
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: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations.
Legal Authority: PL 111-203, sec 763 
Legal Deadline:
Action Source Description Date
Final  Statutory  Sec 763 of the Dodd-Frank Act requires the Commission to adopt rules by July 16, 2011.  07/16/2011 
Timetable:
Action Date FR Cite
NPRM  12/21/2010  75 FR 79992 
NPRM Comment Period End  02/04/2011   
Final Action  02/00/2013   
Regulatory Flexibility Analysis Required: No  Government Levels Affected: Undetermined 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/proposed/2010/34-63556.pdf  
RIN Data Printed in the FR: No 
Agency Contact:
Matthew Landon
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549-1001
Phone:202 551-5556
Fax:202 772-9270
Email: landonm@sec.gov

 
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