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SEC | RIN: 3235-AL05 | Publication ID: Fall 2014 |
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:
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Timetable:
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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: Joanne Rutkowski Division of Trading and Markets Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-5518 Email: rutkowskij@sec.gov |