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SEC RIN: 3235-AL45 Publication ID: Spring 2020 
Title: Reporting and Recordkeeping Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants 
Abstract:

The Commission adopted rules and amendments under the Exchange Act to prescribe 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.

 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Completed Actions 
Major: No  Unfunded Mandates: No 
EO 14192 Designation: Independent agency 
CFR Citation: 17 CFR 240.17a-3 to 240.17a-5    17 CFR 240.17a-11    17 CFR 240.18a-1    17 CFR 240.18a-5 to 240.18a-9    17 CFR 249.617   
Legal Authority: 15 U.S.C. 78o    15 U.S.C. 78q    15 U.S.C. 78w(a)    15 U.S.C. 78mm   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  05/02/2014  79 FR 25194   
NPRM Comment Period End  07/01/2014 
Final Action  12/16/2019  84 FR 68550   
Final Action Effective  02/14/2020 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/proposed/2014/34-71958.pdf  
RIN Data Printed in the FR: No 
Related RINs: Related to 3235-AL12, Related to 3235-AL25, Related to 3235-AL10, Related to 3235-AK91 
Agency Contact:
Raymond Lombardo
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5755
Email: lombardor@sec.gov