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SEC

RIN: 3235-AL12

Publication ID: Fall 2017

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: Long-Term Actions
Major: Undetermined	Unfunded Mandates: No
EO 13771 Designation: Independent agency
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 Extended End	02/22/2013
NPRM Comment Period Reopened	05/23/2013	78 FR 30800
NPRM Comment Period Reopened End	07/22/2013
Next Action Undetermined	To Be Determined

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