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SEC RIN: 3235-AL44 Publication ID: Fall 2016 
Title: Registration of Security-Based Swaps 
Abstract:

The Division is considering recommending that the Commission propose revisions to rules and forms under the Securities Act for registration of the offer and sale of security-based swaps to non-eligible contract participants, which may be needed as a result of section 768 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: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
EO 13771 Designation: uncollected 
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  10/00/2017 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Andrew Schoeffler
Division of Corporation Finance
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-3860
Email: schoefflera@sec.gov