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SEC RIN: 3235-AL12 Publication ID: Fall 2013 
Title: Capital, Margin, Segregation, Reporting and Recordkeeping Requirements for Security-Based Swap Dealers 
Abstract: The Commission proposed new rules and amendments under the Exchange Act to prescribe capital, margin, reporting and recordkeeping requirements with respect to security-based swap dealers and major security-based swap participants pursuant to section 764 of the Dodd Frank Act. The proposals also include rules and amendments under the Exchange Act to establish segregation requirements for security-based swap dealers and major security-based swap participants pursuant to section 763 of the Dodd Frank Act. The comment period was reopened on May 23, 2013. 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final 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 763    PL 111-203, sec 764   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  01/22/2013  78 FR 4365   
NPRM Comment Period End  02/22/2013 
NPRM Comment Period Reopened  05/23/2013  78 FR 30800   
NPRM Comment Period End  07/22/2013 
Final Action  10/00/2014 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/proposed/2012/34-68071.pdf  
RIN Data Printed in the FR: No 
Agency Contact:
Mark Attar
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5889
Email: attarm@sec.gov