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SEC RIN: 3235-AL76 Publication ID: Spring 2016 
Title: Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons to Effect or Be Involved in Effecting Security-Based Swaps 
Abstract:

The Commission proposed rules to provide a process for a registered security-based swap dealer or major security-based swap participant to make an application to the Commission for an order permitting an associated person who is subject to a statutory disqualification to effect or be involved in effecting security-based swaps on behalf of the security-based swap entity.

 
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: 15 U.S.C. 78o-10(b)(4)    15 U.S.C. 780-10(b)(6)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  08/25/2015  80 FR 51684   
NPRM Comment Period End  10/26/2015 
Final Action  04/00/2017 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: Undetermined 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/proposed/2015/34-75612.pdf  
RIN Data Printed in the FR: No 
Related RINs: Related to 3235-AL05 
Agency Contact:
Jonathan Shapiro
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:101 551-7295
Email: shapirojc@sec.gov