RIN Data

SEC RIN: 3235-AL10 Publication ID: Fall 2016 
Title: Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants 
Abstract:

The Commission adopted rules to implement provisions of title VII of the Dodd-Frank Act relating to external business conduct standards for 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 240.3a71-6    17 CFR 240.15Fh-1 to 17 CFR 240.15Fh-6    17 CFR 240.15Fk-1   
Legal Authority: Pub. L. 111-203, secs. 712, 761(b), 124 Stat. 1754 (2010)    sec. 943    Pub. L. 111-203, 124 Stat. 1376    15 U.S.C. 78dd(c)    7 U.S.C. 2(c)(2)(E)    12 U.S.C. 5221(e)(3)    18 U.S.C. 1350   
Legal Deadline:
Action Source Description Date
Final  Statutory  The Dodd-Frank Act requires final rulemaking within one year of enactment.  07/21/2011 
Timetable:
Action Date FR Cite
NPRM  07/18/2011  76 FR 42396   
NPRM Comment Period End  08/29/2011    
NPRM Comment Period Reopened  05/23/2013  78 FR 30800   
NPRM Comment Period Reopened End  07/22/2013 
Final Action  05/13/2016  81 FR 29960   
Final Action Effective  07/12/2016 
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/2016/34-77617.pdf  
RIN Data Printed in the FR: No 
Related RINs: Related to 3235-AL25, Related to 3235-AK91, Related to 3235-AL12, Related to 3235-AL45 
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