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SEC RIN: 3235-AL10 Publication ID: Spring 2013 
Title: Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants 
Abstract: The Commission proposed rules to implement provisions of Title VII of the Dodd Frank Act relating to external business conduct standards for security-based swap dealers and major security-based swap participants. 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: Not Yet Determined 
Legal Deadline:
Action Source Description Date
Final  Statutory  The Dodd Frank Act requires final rulemaking within one year of enactment.  07/21/2011 
Timetable:
Action Date FR Cite
NPRM  07/18/2011  76 FR 42396 
NPRM Comment Period End  08/29/2011   
NPRM Comment Period Reopened  05/23/2013  78 FR 30800 
NPRM Comment Period End  07/22/2013   
Final Action  03/00/2014   
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/proposed/2011/34-64766.pdf  
RIN Data Printed in the FR: No 
Agency Contact:
Joanne Rutkowski
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5518
Email: rutkowskij@sec.gov

 
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