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SEC RIN: 3235-AN67 Publication ID: 2026 
Title: ●Amendments to Rule 17Ab2-1 and Form CA-1 
Abstract:

The Division is considering recommending that the Commission propose updates to modernize and streamline the Commission’s existing process to register clearing agencies and obtain exemptions from registration as a clearing agency, reducing burdens on potential applicants.

 
Agency: Securities and Exchange Commission(SEC)  Priority: Economically Significant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
EO 14192 Designation: Deregulatory 
CFR Citation: 17 CFR 240.17ab2-1    17 CFR 232.101    17 CFR 249.200   
Legal Authority: 15 U.S.C. 78q-1(b)(2)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  10/00/2026 
Regulatory Flexibility Analysis Required: YES  Government Levels Affected: None 
Small Entities Affected: Businesses  Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: Yes 
Agency Contact:
Matthew Tate Lee
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5794
Email: leemat@sec.gov