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SEC RIN: 3235-AL73 Publication ID: Spring 2016 
Title: Security-Based Swap Transactions Connected with a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or  
Abstract:

The Commission adopted 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: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Completed Actions 
Major: Yes  Unfunded Mandates: No 
CFR Citation: 17 CFR 240.3a71-3    17 CFR 240.3a71-5   
Legal Authority: Pub. L. 111-203   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  05/13/2015  80 FR 27444   
NPRM Comment Period End  07/13/2015 
Final Action  02/19/2016  81 FR 8598   
Final Action Effective  05/19/2016 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: sec.gov/rules/final/2016/34-77104.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