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SEC RIN: 3235-AL12 Publication ID: Fall 2019 
Title: Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Capital Requirements for Broker-Dealers 
Abstract:

The Commission adopted 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 amendments to the capital requirements for broker-dealers. The Commission also adopted 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: Completed Actions 
Major: Yes  Unfunded Mandates: No 
EO 13771 Designation: Independent agency 
CFR Citation: 17 CFR 200    17 CFR 240   
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   
NPRM 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 
NPRM Comment Period Reopened  10/19/2018  83 FR 53007   
NPRM Comment Period Reopened End  11/19/2018 
Final Action  08/22/2019  84 FR 43872   
Final Action Effective  10/21/2019 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
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