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SEC RIN: 3235-AL05 Publication ID: Fall 2013 
Title: Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants 
Abstract: The Commission proposed rules to facilitate registration of security-based swap dealers and major security-based swap participants and specify forms to be used by firms to register as security-based swap dealers and major security-based swap participants. The Commission reproposed in RIN 3235-AL25 certain forms to be used to facilitate registration of security-based swap dealers and major security-based swap participants originally proposed in this rulemaking. The Commission reopened the comment period on May 23, 2013 to propose considering together for final action the rules proposed in this rulemaking and the relevant forms reproposed in RIN 3235-AL25. 
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: PL 111-203, sec 764(a) 
Legal Deadline:
Action Source Description Date
Final  Statutory  The Dodd Frank Act requires adoption of final rules a year after enactment.  07/21/2011 
Timetable:
Action Date FR Cite
NPRM  10/24/2011  76 FR 65784 
NPRM Comment Period End  12/19/2011   
Second NPRM  05/23/2013  78 FR 30968 
Second NPRM Comment Period End  08/21/2013   
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: Undetermined  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/proposed/2011/34-65543.pdf  
RIN Data Printed in the FR: No 
Related RINs: Related to 3235-AL25 
Agency Contact:
Bonnie L. Gauch
Division of Trading and Markets
Securities and Exchange Commission
Division of Market Regulation, 100 F Street NE,
Washington, DC 20549
Phone:202 551-5524
Fax:202 772-9273

 
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