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SEC RIN: 3235-AK88 Publication ID: Spring 2016 
Title: End-User Exception to Mandatory Clearing of Security-Based Swaps 

The Commission proposed regulations to implement the exception to mandatory clearing of security-based swaps available to counterparties of security-based swap transactions contained in the Dodd Frank Act if they: (1) Are not a financial entity, (2) hedge or mitigate commercial risk, and (3) notify the Commission, in a manner set forth by the Commission, how they meet the financial obligations associated with entering into noncleared security-based swaps. 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: Pub. L. 111-203, sec 763   
Legal Deadline:
Action Source Description Date
Final  Statutory  Sec 763 of the Dodd Frank Act requires the Commission to adopt rules by July 16, 2011.  07/16/2011 
Action Date FR Cite
NPRM  12/21/2010  75 FR 79992   
NPRM Comment Period End  02/04/2011    
NPRM Comment Period Reopened  05/23/2013  78 FR 30800   
NPRM Comment Period Reopened End  07/22/2013 
Final Action  04/00/2017 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: Undetermined 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL:  
RIN Data Printed in the FR: No 
Agency Contact:
Claire Noakes
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5837