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SEC | RIN: 3235-AL12 | Publication ID: Fall 2013 |
Title: Capital, Margin, Segregation, Reporting and Recordkeeping Requirements for Security-Based Swap Dealers | |
Abstract: The Commission proposed new rules and amendments under the Exchange Act to prescribe capital, margin, reporting and recordkeeping requirements with respect to security-based swap dealers and major security-based swap participants pursuant to section 764 of the Dodd Frank Act. The proposals also include rules and amendments under the Exchange Act to establish segregation requirements for security-based swap dealers and major security-based swap participants pursuant to section 763 of the Dodd Frank Act. 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: Final 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: PL 111-203, sec 763 PL 111-203, sec 764 |
Legal Deadline:
None |
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Timetable:
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Regulatory Flexibility Analysis Required: No | Government Levels Affected: Undetermined |
Federalism: Undetermined | |
Included in the Regulatory Plan: No | |
RIN Information URL: www.sec.gov/rules/proposed/2012/34-68071.pdf | |
RIN Data Printed in the FR: No | |
Agency Contact: Mark Attar Division of Trading and Markets Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-5889 Email: attarm@sec.gov |