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SEC | RIN: 3235-AK88 | Publication ID: Spring 2016 |
Title: End-User Exception to Mandatory Clearing of Security-Based Swaps | |
Abstract:
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. |
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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:
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Timetable:
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Regulatory Flexibility Analysis Required: No | Government Levels Affected: Undetermined |
Federalism: No | |
Included in the Regulatory Plan: No | |
RIN Information URL: www.sec.gov/rules/proposed/2010/34-63556.pdf | |
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 Email: noakesc@sec.gov |