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SEC

RIN: 3235-AL25

Publication ID: Spring 2014

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	08/21/2013
Final Action	03/00/2015

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: Joshua Kans Division of Trading and Markets Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-7559 Fax:202 772-9270 Email: kansj@sec.gov