3235-AK93 202104 Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Registration and Regulation of Security-Based Swap Execution Facilities

The Commission proposed rules for the registration and regulation of security-based swap execution facilities ("SBSEFs"). These rules would, among other things, implement 14 statutory core principles for SBSEFs set forth in the Dodd-Frank Act. The comment period was reopened on May 23, 2013. The Commission separately proposed Regulation MC to address conflicts of interest in SBSEFs and other registered entities (in RIN 3235-AK74).

The Division is considering recommending that the Commission seek comments on all aspects of the SBSEF proposal.

]]> Substantive, Nonsignificant Previously Published in The Unified Agenda Proposed Rule Stage Undetermined No 17 CFR 240.3a-1 17 CFR 240.15a-12 17 CFR 242.800 to 823 17 CFR 249.1700 15 U.S.C. 78c-4 15 U.S.C. 78c 15 U.S.C. 78f 15 U.S.C. 78o 15 U.S.C. 78s 15 U.S.C. 78w(a) 15 U.S.C. 78dd(b) 15 U.S.C. 78dd(c) 15 U.S.C. 78mm Statutory Final 07/21/2011 Dodd-Frank Act requires action within a year of enactment. No NPRM 02/28/2011 76 FR 10948 NPRM Comment Period End 04/04/2011 NPRM Comment Period Reopened 05/23/2013 78 FR 30800 NPRM Comment Period Reopened End 07/22/2013 NPRM Comment Period Reopened 04/00/2022 No None No www.sec.gov/rules/proposed/2011/34-63825 No No 3235-AK74 Related to Michael Bradley Division of Trading and Markets 3235 Securities and Exchange Commission SEC 202 551-5594 bradleym@sec.gov 100 F Street NE, Washington DC 20549