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TREAS/OCC RIN: 1557-AD43 Publication ID: Spring 2011 
Title: ●Registration and Regulation of Swap Dealers and Major Swap Participants; Registration and Regulation of Security-Based Swap Dealers and Major Security-Base Swap Participants  
Abstract: This joint rulemaking will implement section 4s(e) of the Commodity Exchange Act, as added by section 731 of the Dodd-Frank Act, and section 15F(e) of the Securities Exchange Act of 1934, as added by section 764 of the Dodd-Frank Act. These statutes require the OCC, FRB, FDIC, FHFA, and FCA to issue joint rules covering swap dealers, major swap participants, security-based swap dealers, and major security based-swap participants subject to each agencies' supervision. These rules will address capital requirements, and initial and variation margin requirements, for swaps and security-based swaps that are not cleared by a registered clearing agency. The OCC, FRB, FDIC, FHFA, and FCA will consult with the CFTC and SEC (which are required to engage in the same rulemaking with respect to entities under their supervision) to establish, to the maximum extent practicable, rules that are comparable. 
Agency: Department of the Treasury(TREAS)  Priority: Substantive, Nonsignificant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: Undetermined 
CFR Citation: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: PL 111-203, sec 731 PL 111-203, sec 764    15 USC 78o-8   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  06/00/2011    
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Jamey Basham
Assistant Director
Department of the Treasury
Comptroller of the Currency
Chief Counsel's Office, 400 7th Street SW.,
Washington, DC 20219
Phone:202 649-6277
Email: james.basham@occ.treas.gov