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SEC RIN: 3235-AK93 Publication ID: Fall 2013 
Title: Registration and Regulation of Securities-Based Swap Execution Facilities 
Abstract: The Commission proposed a registration framework for security-based swap execution facilities ("SB SEFs"), rules that would implement a provision of the Dodd Frank Act requiring SB SEFs to comply with fourteen enumerated core principles and enforce compliance with those principles, and a process for SB SEFs to submit proposed changes to their rules to the Commission. The Commission also proposed to exempt a registered SB SEF from the definition of "exchange," and to conditionally exempt a registered SB SEF from regulation as a "broker." The Commission separately proposed regulations to impose ownership and voting limits and governance arrangements applicable to SB SEFs and national securities exchanges that trade security-based swaps to mitigate potential conflicts of interest that could exist in those entities on October 25,2010 in RIN 3235-AK74. The staff is cconsidering recommending that the Commission include those proposals in this rulemaking. 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 240.3a-1; 17 CFR 240.15a-12; 17 CFR 242.800 to 823; 17 CFR 249.1700 
Legal Authority: 15 USC 78c-4; 15 USC 78c; 15 USC 78f; 15 USC 78o; 15 USC 78s; 15 USC 78w(a); 15 USC 78dd(b); 15 USC 78dd(c); 15 USC 78mm 
Legal Deadline:
Action Source Description Date
Final  Statutory  Dodd Frank Act requires action within a year of enactment.  07/21/2011 
Timetable:
Action Date FR Cite
NPRM  02/28/2011  76 FR 10948 
NPRM Comment Period End  04/04/2011   
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 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/proposed/2011/34-63825  
RIN Data Printed in the FR: No 
Related RINs: Related to 3235-AK74 
Agency Contact:
Michael Bradley
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5594

 
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