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SEC RIN: 3235-AL05 Publication ID: Fall 2015 
Title: Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants 
Abstract:

The Commission adopted 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: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Completed Actions 
Major: Yes  Unfunded Mandates: No 
CFR Citation: 17 CFR 249.402    17 CFR 249.308   
Legal Authority: Pub. L. 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  10/24/2011  76 FR 65784   
NPRM Comment Period End  12/19/2011    
Second NPRM  05/23/2013  78 FR 30968   
Second NPRM Comment Period End  08/21/2013 
NPRM Comment Period Reopened  05/23/2013  78 FR 30800   
NPRM Comment Period End  07/22/2013 
Final Action  08/14/2015  80 FR 48964   
Final Action Effective  10/13/2015 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/final/2015/34-75611.pdf  
RIN Data Printed in the FR: No 
Related RINs: Related to 3235-AL25 
Agency Contact:
Joanne Rutkowski
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5518
Email: rutkowskij@sec.gov