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SEC RIN: 3235-AL71 Publication ID: Fall 2015 
Title: Regulation SBSR -- Reporting and Dissemination of Security-Based Swap Information 
Abstract:

The Commission proposed rules and rule amendments to Regulation SBSR (Reporting and Dissemination of Security-Based Swap Information).  Proposed Rule 901(a)(1) would require a platform (i.e., a national securities exchange or security-based swap execution facility registered with the Commission or exempt from registration) to report to a registered security-based swap data repository ("registered SDR") any security-based swap executed on such platform that will be submitted to clearing.  Proposed Rule 901(a )(2)(i) would require a registered clearing agency to report to a registered SDR any security-based swap to which it is a counterparty. The Commission also proposed conforming changes to other provisions of Regulation SBSR in light of the proposed amendments to Rule 901(a), and a new rule that would prohibit registered SDRs from charging fees for or imposing usage restrictions on the uses of the security-based swap transaction data that they are required to publicly disseminate.   

 

The Commission also proposed guidance for the reporting and public dissemination of allocations of cleared security-based swaps and a new compliance schedule for the portions of Regulation SBSR for which the Commission had not previously specified a compliance date. 

 
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: 17 CFR 242.900    17 CFR 242.901    17 CFR 242.905    17 CFR 242.907    17 CFR 242.908   
Legal Authority: 15 U.S.C. 78m-1    15 U.S.C. 78m(m)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  03/19/2015  80 FR 14739   
NPRM Comment Period End  05/04/2015 
Final Action  10/00/2016 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.rules/proposed/2015/34-74245  
RIN Data Printed in the FR: No 
Agency Contact:
David Michehl
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5627
Email: michehld@sec.gov