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SEC | RIN: 3235-AL25 | Publication ID: Fall 2015 |
Title: Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities | |
Abstract:
The Commission proposed rules regarding 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 in a single comprehensive proposing release. 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 and later adopted in part in 75 FR 75208 (RIN 3235-AK80).
The Commission adopted final rules related to the cross-border application of the definitions of "security-based swap dealer" and "major security-based swap participant," and regarding procedures for the submission of substituted compliance requests. These rules constituted adoption of certain proposed rules under RIN 3235-AL25, but other proposed rules remain outstanding. |
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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 |
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Timetable:
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Regulatory Flexibility Analysis Required: No | 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 Information URL: www.sec.gov/rules/final/2014/34-72472.pdf | |
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 |