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SEC | RIN: 3235-AK77 | Publication ID: Spring 2013 |
Title: Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps | |
Abstract: The Commission proposed for comment a new rule under the Exchange Act, proposed Rule 9j-1, intended 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. The comment period was reopened on May 23, 2013. | |
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 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 | |
Agency Contact: Christian Sabella Division of Trading and Markets Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-5997 |