Division of Trading and Markets

3235-AK77 202110 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps and Disclosure of Security-Based Swap Positions

The Division is considering recommending that the Commission repropose rules to prevent fraud, manipulation, and deception in connection with security-based swaps in accordance with section 9(j) of the Exchange Act, as well as propose rules under section 10B of the Exchange Act to require certain disclosures in connection with security-based swap positions.

]]> Substantive, Nonsignificant Previously Published in The Unified Agenda Proposed Rule Stage Undetermined No 17 CFR 240.9j-1 15 U.S.C. 78b 15 U.S.C. 78c(b) 15 U.S.C. 78i(i) 15 U.S.C. 78i(j) 15 U.S.C. 78j 15 U.S.C. 78o 15 U.S.C. 78o-8 15 U.S.C. 78w(a) No NPRM 11/08/2010 75 FR 68560 NPRM Comment Period End 12/23/2010 NPRM Comment Period Reopened 05/23/2013 78 FR 30800 NPRM Comment Period Reopened End 07/22/2013 Second NPRM 12/00/2021 No No None No www.sec.gov/rules/proposed/2010/34-63263.pdf No No Rajal Patel Division of Trading and Markets 3235 Securities and Exchange Commission SEC 202 551-5870 patelrajal@sec.gov 100 F Street NE, Washington DC 20549