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SEC RIN: 3235-AL17 Publication ID: 2012 
Title: Exemptions for Security-Based Swaps 
Abstract: The Commission adopted interim final rules, providing exemptions under the Securities Act, Exchange Act, and Trust Indenture Act of 1939, for those security-based swaps that under previous law were security-based swap agreements and have been defined as "securities" under the Securities Act and the Exchange Act as of July 16, 2011, due solely to the provisions of title VII of the Dodd-Frank Act. The Division is considering recommending that the Commission propose rules that would enable transactions in security-based swaps to rely on existing exemptions under the Securities Act. 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 230.240; 17 CFR 240.12a-11; 17 CFR 240.12h-1; 17 CFR 260.4d-12 
Legal Authority: 15 USC 77s; 15 USC 77aa; 15 USC 78l(h); 15 USC 78w(a); 15 USC 78mm; 15 USC 78ddd(d) 
Legal Deadline:  None
Timetable:
Action Date FR Cite
Interim Final Rule  07/11/2011  76 FR 40605 
Interim Final Rule Effective  07/11/2011   
Interim Final Rule Comment Period End  08/15/2011   
NPRM  12/00/2012   
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: None 
Small Entities Affected: Businesses  Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/proposed/2011/33-922.pdf  
RIN Data Printed in the FR: Yes 
Related RINs: Related to 3235-AK65, Related to 3235-AL14 
Agency Contact:
Amy Starr
Division of Corporation Finance
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-3860

 
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