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SEC RIN: 3235-AL51 Publication ID: Fall 2019 
Title: Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act 
Abstract:

The FDIC and the Commission, in accordance with section 205(h) of the Dodd-Frank Act, jointly proposed a rule to implement provisions applicable to the orderly liquidation of covered brokers and dealers under title II 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: 17 CFR 100 to 107   
Legal Authority: 12 U.S.C. 5385   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  03/02/2016  81 FR 10798   
NPRM Comment Period End  05/02/2016 
Next Action Undetermined  To Be Determined 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: Undetermined 
Small Entities Affected: No  Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov.rules/proposed/2016/34-77157.pdf  
RIN Data Printed in the FR: No 
Agency Contact:
Raymond Lombardo
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5755
Email: lombardor@sec.gov