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SEC RIN: 3235-AL73 Publication ID: Spring 2015 
Title: ●Application of Certain Title VII Requirements to Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed By Personnel Located In 
Abstract:

The Commission proposed rules relating to the application of Title VII of the Dodd Frank Act to security-based swap transactions that arise out of conduct in the United States and certain other related matters.

 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Proposed 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: Not Yet Determined   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  04/00/2016 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: sec.gov/rules/proposed/2015/34-74834.pdf  
RIN Data Printed in the FR: No 
Related RINs: Related to 3235-AL25 
Agency Contact:
Richard Gabbert
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-7814
Email: gabbertr@sec.gov