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SEC RIN: 3235-AK98 Publication ID: Spring 2011 
Title: ●Beneficial Ownership Reporting Requirements and Security-Based Swaps 
Abstract: The Commission proposed to readopt without change portions of the rules enabling determinations of beneficial ownership to be made for purposes of sections 13(d), 13(g) and 16 of the Exchange Act, in light of the addition of section 13(o) to the Exchange Act by the Dodd-Frank Act. 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 240.13d-3    17 CFR 240.16a-1   
Legal Authority: PL 111-203 sec 766    PL 111-203 sec 712(d)    15 USC 78m-78l   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  03/22/2011  76 FR 15874   
NPRM Comment Period End  04/15/2011    
Final Action  06/00/2011    
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Information URL: www/sec/gov/rules/proposed/2011/34-64087.pdf  
RIN Data Printed in the FR: No 
Agency Contact:
Nicholas Panos
Division of Corporation Finance
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-3440

Anne M. Krauskopf
Division of Corporation Finance
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-3500
Email: krauskopfa@sec.gov