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SEC RIN: 3235-AK93 Publication ID: Fall 2021 
Title: Registration and Regulation of Security-Based Swap Execution Facilities 
Abstract:

The Division is considering recommending that the Commission repropose rules for the registration and regulation of security-based swap execution facilities (SBSEFs).  These rules would, among other things, implement statutory core principles for SBSEFs set forth in the Dodd-Frank Act and address conflicts of interest in SBSEFs (as mandated by section 765 of the Dodd-Frank Act) from RIN 3235-AK74 into this rulemaking.

 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 240.3a-1    17 CFR 240.15a-12    17 CFR 242.800 to 823    17 CFR 249.1700   
Legal Authority: 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   
Legal Deadline:
Action Source Description Date
Final  Statutory  Dodd-Frank Act requires action within a year of enactment.  07/21/2011 
Timetable:
Action Date FR Cite
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 
Second NPRM  04/00/2022 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/proposed/2011/34-63825  
RIN Data Printed in the FR: No 
Related RINs: Related to 3235-AK74 
Agency Contact:
Michael Bradley
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5594
Email: bradleym@sec.gov