RIN Data

SEC RIN: 3235-AL12 Publication ID: Fall 2016 
Title: Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Capital Requirements for Broker-Dealers 
Abstract:

The Commission proposed rules and amendments under the Exchange Act to prescribe capital and margin requirements for security-based swap dealers and major security-based swap participants pursuant to section 764 of the Dodd-Frank Act and proposed amendments to the capital requirements for broker-dealers. The Commission also proposed 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.

 

 
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 
EO 13771 Designation:  
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    Pub. L. 111-203, sec. 764   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  11/23/2012  77 FR 70214   
Comment Period Extended  01/22/2013  78 FR 4365   
NPRM Comment Period End  02/22/2013 
NPRM Comment Period End  02/22/2013 
NPRM Comment Period Reopened  05/23/2013  78 FR 30800   
NPRM Comment Period Reopened End  07/22/2013 
Final Action  10/00/2017 
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:
Sheila Swartz
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5545
Email: swartzs@sec.gov