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| SEC | RIN: 3235-AL71 | Publication ID: Fall 2016 |
| Title: Regulation SBSR--Reporting and Dissemination of Security-Based Swap Information | |
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Abstract:
The Commission adopted rules and rule amendments to Regulation SBSR (Reporting and Dissemination of Security-Based Swap Information). Rule 901(a)(1) requires a platform (i.e., a national securities exchange or security-based swap execution facility registered with the Commission or exempt from registration) to report to a registered security-based swap data repository ("registered SDR") any security-based swap executed on such platform that will be submitted to clearing. Rule 901(a )(2)(i) requires a registered clearing agency to report to a registered SDR any security-based swap to which it is a counterparty. The Commission also adopted conforming changes to other provisions of Regulation SBSR in light of the amendments to Rule 901(a), and a new rule that prohibits registered SDRs from charging fees for or imposing usage restrictions on the uses of the security-based swap transaction data that they are required to publicly disseminate.
The Commission also adopted guidance for the reporting and public dissemination of allocations of cleared security-based swaps and a new compliance schedule for the portions of Regulation SBSR for which the Commission had not previously specified a compliance date. |
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| 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 |
| CFR Citation: 17 CFR 242.900 17 CFR 242.901 17 CFR 242.905 17 CFR 242.907 17 CFR 242.908 | |
| Legal Authority: 15 U.S.C. 78m-1 15 U.S.C. 78m(m) | |
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Legal Deadline:
None |
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Timetable:
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| Regulatory Flexibility Analysis Required: No | Government Levels Affected: None |
| Federalism: No | |
| Included in the Regulatory Plan: No | |
| RIN Information URL: www.sec.rules/final/2016/34-75321.pdf | |
| RIN Data Printed in the FR: No | |
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Agency Contact: David Michehl Division of Trading and Markets Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-5627 Email: michehld@sec.gov |
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