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SEC RIN: 3235-AK79 Publication ID: Spring 2013 
Title: Security-Based Swap Data Repository Registration, Duties, and Core Principles 
Abstract: The Commission proposed rules to facilitate registration of security-based swap data repositories and a form to be used to register as a security-based swap data repository. In June 2011, the Commission issued a release detailing the provisions that are not effective or do not require compliance as of a 360-day deadline in the Dodd Frank Act and granting exemptive relief to entities that meet the definition of security-based swap data repository as set forth in section 3(a)(75) of the Exchange Act from those provisions of section 13(n) of the Exchange Act that require compliance as of the 360-day deadline. This exemptive relief does not end until the earlier of (1) the date the Commission grants registration to the security-based swap data repository and (2) the earliest compliance date for any of the final rules regarding the registration of security-based swap data repositories. 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: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations.
Legal Authority: 15 USC 78m(n) 
Legal Deadline:
Action Source Description Date
Final  Statutory  sec 712(e) of the Dodd Frank Act requires adoption 360 days from enactment of the statute.  07/16/2011 
Timetable:
Action Date FR Cite
NPRM  12/10/2010  75 FR 77306 
NPRM Comment Period End  01/24/2011   
NPRM Comment Period Reopened  05/23/2013  78 FR 30800 
NPRM Comment Period End  07/22/2013   
Final Action  12/00/2013   
Regulatory Flexibility Analysis Required: No  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/proposed/2010/34-63347.pdf  
RIN Data Printed in the FR: No 
Agency Contact:
Richard Vorosmarti
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5635
Email: vorosmartir@sec.gov

 
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