3235-AK74 202204 Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Clearing Agency Governance

The Commission proposed regulations to impose ownership and voting limits and governance arrangements applicable to clearing agencies to mitigate potential conflicts of interest that could exist to those entities. The proposed regulations related to the mitigation of conflicts of interest in security-based swap execution facilities have been merged into 3235-AK93.

]]> Substantive, Nonsignificant Previously Published in The Unified Agenda Proposed Rule Stage Undetermined No 17 CFR 242 Pub. L. 111-203, sec. 765 Pub. L. 111-203, sec. 763 15 U.S.C. 78c 15 U.S.C. 78f 15 U.S.C. 78k-1 15 U.S.C. 78q-1 15 U.S.C. 78w(a) Statutory Final 01/18/2011 Pub. L. 111-203, sec. 765. Pub. L. 111-203, sec. 765. The Dodd-Frank Act requires the Commission to adopt rules to mitigate conflicts of interest for security-based swap clearing agencies, security-based swap execution facilities, and security-based swap exchanges. No NPRM 10/26/2010 75 FR 65881 NPRM Comment Period End 11/26/2010 NPRM Comment Period Extended 03/08/2011 76 FR 12654 NPRM Comment Period Extended End 04/29/2011 NPRM Comment Period Reopened 05/23/2013 78 FR 30800 NPRM Comment Period Reopened End 07/22/2013 Final Action 02/01/2021 86 FR 7637 Final Action Effective 04/02/2021 Second NPRM 10/00/2022 No No None No www.sec.gov/rules/proposed/2011/34-64018.pdf No No 3235-AL13 Merged with 3235-AK93 Related to Matthew Lee Assistant Director, Division of Trading and Markets 3235 Securities and Exchange Commission SEC 202 551-5794 leemat@sec.gov 100 F Street NE, Washington DC 20549