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SEC RIN: 3235-AK77 Publication ID: Fall 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: Final 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:
Action Source Description Date
Final  Statutory    07/16/2011 

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.

Timetable:
Action Date FR Cite
NPRM  11/08/2010  75 FR 68560 
NPRM Comment Period End  12/23/2010   
NPRM Comment Period Reopened  05/23/2013  78 FR 30800 
NPRM Comment Period End  07/22/2013   
Final Action  10/00/2014   
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:
Angela Makodean
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5490
Email: makodeana@sec.gov

 
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