3235-AK88 201410 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC End-User Exception to Mandatory Clearing of Security-Based Swaps

The Commission proposed regulations to implement the exception to mandatory clearing of security-based swaps available to counterparties of security-based swap transactions contained in the Dodd Frank Act if they: (1) are not a financial entity, (2) hedge or mitigate commercial risk, and (3) notify the Commission, in a manner set forth by the Commission, how they meet the financial obligations associated with entering into noncleared security-based swaps. The comment period was reopened on May 23, 2013.

]]> Substantive, Nonsignificant Previously Published in The Unified Agenda Final Rule Stage Undetermined No Not Yet Determined PL 111-203, sec 763 Statutory Final 07/16/2011 Sec 763 of the Dodd Frank Act requires the Commission to adopt rules by July 16, 2011. No NPRM 12/21/2010 75 FR 79992 NPRM Comment Period End 02/04/2011 NPRM Comment Period Reopened 05/23/2013 78 FR 30800 NPRM Comment Period End 07/22/2013 Final Action 10/00/2015 No Undetermined No www.sec.gov/rules/proposed/2010/34-63556.pdf No No Claire Noakes Division of Trading and Markets 3235 Securities and Exchange Commission SEC 202 551-5837 noakesc@sec.gov 100 F Street NE, Washington DC 20549