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SEC RIN: 3235-AL25 Publication ID: Spring 2013 
Title: Regulation of Cross-Border Security-Based Swap Activities 
Abstract: The Commission addressed in a single proposing release the cross-border application of Title VII of the Dodd Frank Act to security-based swap transactions and non-U.S. persons who act in capacities regulated under the Dodd Frank Act. The Commission also reproposed certain forms to be used to facilitate registration of security-based swap dealers and major security-based swap participants originally proposed in 76 FR 65784 (RIN 3235-AL05), and various modifications to proposed Regulation SBSR, particularly Rule 908 thereof, which addresses cross-border transactions, originally proposed in 75 FR 75208 (RIN 3235-AK80). 
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: 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:  None
Timetable:
Action Date FR Cite
NPRM  05/23/2013  78 FR 30968 
NPRM Comment Period End  05/23/2013   
Final Action  03/00/2014   
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: None 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
International Impacts: This regulatory action will be likely to have international trade and investment effects, or otherwise be of international interest.
RIN Data Printed in the FR: No 
Related RINs: Related to 3235-AK80, Related to 3235-AL05 
Agency Contact:
Matthew Daigler
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE.,
Washington, DC 20549
Phone:202 551-5571
Email: daiglerm@sec.gov

 
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