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SEC RIN: 3235-AL45 Publication ID: Spring 2013 
Title: ●Reporting and Recordkeeping Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants 
Abstract: The Division is considering recommending that the Commission propose rules and amendments under the Exchange Act to prescribe reporting and Recordkeeping requirements with respect to security-based swap dealers and major security-based swap participants pursuant to section 964 of the Dodd Frank Act. 
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  09/00/2013 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Related RINs: Related to 3235-AL12 
Agency Contact:
Denise Landers
Senior Special Counsel, Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5544
Email: landersd@sec.gov