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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 |
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Timetable:
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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 |