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SEC RIN: 3235-AL18 Publication ID: 2012 
Title: Amendment to Rule Filing Requirement for Dually Registered Clearing Agencies 
Abstract: The Commission adopted an interim final rule to amend Rule 19b-4 under the Exchange Act, expanding the list of categories that qualify for summary effectiveness under section 19(b)(3)(A) of that Act to include any matter effecting a change in an existing service of a clearing agency registered with the Commission that both i) primarily affects the futures clearing operations of the clearing agency, with respect to futures that are not security futures, and ii) does not significantly affect any securities clearing operations or any related rights or obligations of the clearing agency or persons using such service. The Commission also made a corresponding technical modification to the General Instructions for Form 19b-4 under the Exchange Act. The staff is considering recommending that the Commission adopt amendments to Rule 19b-4 and Form 19b-4 to streamline the rule filing process in areas involving certain activities concerning non-security products that may be subject to overlapping regulations as a result of, in part, certain provisions under section 763(b) of the Dodd-Frank Act that would deem some clearing agencies to be registered with the Commission as of July 16, 2011. 
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: No  Unfunded Mandates: No 
CFR Citation: 17 CFR 240.19b-4(f)(4)(ii); 17 CFR 249.819 (Does not appear in the CFR) 
Legal Authority: 15 USC 78s(b)(3)(A)(iii) 
Legal Deadline:
Action Source Description Date
Other  Statutory  see below  07/16/2011 

Overall Description of Deadline: Absent Commission action, certain provisions under section 763(b) of the Dodd-Frank Act would deem some clearing agencies that process non-security products to be registered with the SEC as of July 16, 2011.

Timetable:
Action Date FR Cite
Interim Final Rule  07/13/2011  76 FR 41056 
Interim Final Rule Effective  07/15/2011   
Interim Final Rule Comment Period End  09/15/2011   
Next Action  12/00/2012   
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/interim/2011/34-64832.pdf  
RIN Data Printed in the FR: No 
Agency Contact:
Raymond Lombardo
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5755
Email: lombardor@sec.gov

 
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