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SEC RIN: 3235-AL05 Publication ID: Spring 2011 
Title: ●Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants 
Abstract: The Division is considering recommending that the Commission propose rules to facilitate registration of security-based swap dealers and major security-based swap participants and specify forms to be used by firms to register as security-based swap dealers and major security-based swap participants. 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: PL 111-203 sec 764(a)   
Legal Deadline:
Action Source Description Date
Final  Statutory  The Dodd-Frank Act requires adoption of final rules a year after enactment.  07/21/2011 
Timetable:
Action Date FR Cite
NPRM  06/00/2011    
Final Action  07/00/2011    
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Bonnie L. Gauch
Division of Trading and Markets
Securities and Exchange Commission
Division of Market Regulation, 100 F Street NE,
Washington, DC 20549
Phone:202 551-5524
Fax:202 772-9273