3235-AL25 201410 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions in Cross-Border Security-Based Swap Activities

The Commission proposed rules regarding the cross-border application of title VII of the Dodd Frank Act to security-based swap transactions and non-U.S. persons who act in capacities regulated under the Dodd Frank Act in a single comprehensive proposing release.  The Commission also reproposed certain forms to be used to facilitate registration of security-based swap dealers and major security-based swap participants originally proposed in 76 FR 65784 (RIN 3235-AL05), and various modifications to proposed Regulation SBSR, particularly Rule 908 thereof, which addresses cross-border transactions, originally proposed in 75 FR 75208 (RIN 3235-AK80).

 

The Commission adopted final rules related to the cross-border application of the definitions of "security-based swap dealer" and "major security-based swap participant," and regarding procedures for the submission of substituted compliance requests. These rules constituted adoption of certain proposed rules under RIN 3235-AL25, but other proposed rules remain outstanding.

]]> Substantive, Nonsignificant Previously Published in The Unified Agenda Final Rule Stage Undetermined No Not Yet Determined Not Yet Determined No NPRM 05/23/2013 78 FR 30968 NPRM Comment Period End 08/21/2013 Final Action 03/00/2015 Final Action 07/09/2014 79 FR 39068 Final Action Effective 09/08/2014 Next Action 10/00/2015 Undetermined None Undetermined No Yes 3235-AK80 Related to 3235-AL05 Related to Joshua Kans Division of Trading and Markets 3235 Securities and Exchange Commission SEC 202 551-7559 202 772-9270 kansj@sec.gov 100 F Street NE, Washington DC 20549