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SEC RIN: 3235-AK77 Publication ID: Fall 2016 
Title: Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps 
Abstract:

The Commission proposed for comment a new rule under the Exchange Act, proposed Rule 9j-1, intended to prevent fraud, manipulation, and deception in connection with the offer, purchase, or sale of any security-based swap, the exercise of any right or performance of any obligation under a security-based swap, or the avoidance of such exercise or performance. The comment period was reopened on May 23, 2013.

 
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: 17 CFR 240.9j-1   
Legal Authority: 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)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
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 
Final Action  10/00/2017 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Small Entities Affected: No  Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/proposed/2010/34-63263.pdf  
RIN Data Printed in the FR: No 
Agency Contact:
Angela Mokodean
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5490
Email: mokodeana@sec.gov