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TREAS/OCC RIN: 1557-AD43 Publication ID: Spring 2014 
Title: Registration and Regulation of Swap Dealers and Major Swap Participants; Registration and Regulation of Security-Based Swap Dealers and Major Security-Based Swap Participants  
Abstract: The OCC, FRB, FDIC, FCA, and FHFA issued a proposed rule to establish minimum margin and capital requirements for registered swap dealers, major swap participants, security-based swap dealers, and major security-based swap participants for which one of the Agencies is the prudential regulator. This proposed rule implements sections 731 and 764 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, which require the Agencies to adopt rules jointly to establish capital requirements and initial and variation margin requirements for such entities on all non-cleared swaps and non-cleared security-based swaps in order to offset the greater risk to such entities, and the financial system arising from the use of swaps, and security-based swaps that are not cleared. 
Agency: Department of the Treasury(TREAS)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: No  Unfunded Mandates: No 
CFR Citation: 12 CFR 45 
Legal Authority: 7 USC 6s; 7 USC 6s(e); 12 USC 1 et seq; 12 USC 93a; 12 USC 161; 12 USC 1818; 12 USC 3907; 12 USC 3090; 15 USC 78o-8; 15 USC 78o-10(e) 
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  05/11/2011  76 FR 27564 
NPRM Comment Period Extended  06/24/2011  76 FR 37029 
NPRM Comment Period End  07/11/2011   
NPRM Comment Period Reopened  10/02/2012  77 FR 60057 
NPRM Comment Period End  11/26/2012   
Second NPRM  06/00/2014   
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Carl Kaminski
Counsel
Department of the Treasury
Comptroller of the Currency
Legislative and Regulatory Activities Division, 400 7th Street SW.,
Washington, DC 20219
Phone:202 649-5869
Email: carl.kaminski@occ.treas.gov

 
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