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SEC RIN: 3235-AK65 Publication ID: 2012 
Title: Definitions Contained in Title VII of the Dodd-Frank Act 
Abstract: The Commission adopted final rules further defining "swap dealer," "security-based swap dealer," "major swap participant," "major security-based swap participant," and "eligible contract participant." The Commission also adopted a separate a release with the same RIN regarding other definitions and the regulation of "swap," "security-based swap," "mixed swaps," and "security-based swap agreements." 
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 
EO 13771 Designation: uncollected 
CFR Citation: 17 CFR 240,3a-67-1 to 240.3a67-9    17 CFR 240.3a68-1a to 240.3a68-5    17 CFR 240.3a69-1 to 240,3a69-3    17 CFR 240.3a71-1    17 CFR 240.3a71-2     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: PL 111-203, title VII   
Legal Deadline:
Action Source Description Date
Final  Statutory  Dodd-Frank Act requires adoption 360 days after enactment.  07/21/2011 
Action Date FR Cite
ANPRM  08/20/2010  75 FR 51429   
ANPRM Comment Period End  09/20/2010    
NPRM #1  12/21/2010  75 FR 80174   
NPRM #1 Comment Period End  02/22/2011 
NPRM #2  05/23/2011  76 FR 29818   
NPRM #2 Comment Period End  07/22/2011    
Final Action #2  05/23/2012  77 FR 30596   
Final Action #2 Effective  12/31/2012 
Final Action #1  08/13/2012  77 FR 48208   
Final Action #1 Effective  10/12/2012 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL:  
RIN Data Printed in the FR: No 
Agency Contact:
Richard Grant
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5914