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SEC RIN: 3235-AL41 Publication ID: Fall 2016 
Title: Treatment of Certain Communications Involving Security-Based Swaps That May be Purchased Only by Eligible Contract Participants 
Abstract:

The Commission proposed a rule under the Securities Act to address the treatment of certain communications involving security-based swaps that may be purchased only by eligible contract participants.

 
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. 77e    15 U.S.C. 77s    15 U.S.C. 77z-3   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  09/11/2014  79 FR 54224   
NPRM Comment Period End  11/10/2014 
Final Action  10/00/2017 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.rules/proposed/2014/33-9643.pdf  
RIN Data Printed in the FR: No 
Agency Contact:
Andrew Schoeffler
Division of Corporation Finance
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-3860
Email: schoefflera@sec.gov