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SEC RIN: 3235-AK77 Publication ID: Spring 2013 
Title: Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps 
Abstract: The Commission proposed for comment a new rule under the Exchange Act, proposed Rule 9j-1, intended to prevent fraud, manipulation, and deception in connection with the offer, purchase, or sale of any security-based swap, the exercise of any right or performance of any obligation under a security-based swap, or the avoidance of such exercise or performance. The comment period was reopened on May 23, 2013. 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 240.9j-1   
Legal Authority: 15 USC 78b    15 USC 78c(b)    15 USC 78i(i)    15 USC 78i(j)    15 USC 78j    15 USC 78o    15 USC 78o-8    15 USC 78w(a)   
Legal Deadline:
Action Source Description Date
Final  Statutory    07/16/2011 

Overall Description of Deadline: The Dodd Frank Act requires the Commission to adopt a final rule under section 736(g) of title VII no later than 360 days after its enactment.

Action Date FR Cite
NPRM  11/08/2010  75 FR 68560   
NPRM Comment Period End  12/23/2010    
NPRM Comment Period Reopened  05/23/2013  78 FR 30800   
NPRM Comment Period End  07/22/2013 
Final Action  06/00/2014 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Small Entities Affected: No  Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL:  
RIN Data Printed in the FR: No 
Agency Contact:
Christian Sabella
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5997