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SEC RIN: 3235-AL83 Publication ID: Fall 2019 
Title: Risk Mitigation Techniques 
Abstract:

The Division is considering recommending that the Commission adopt rules pursuant to section 15F(i)(2) of the Exchange Act prescribing standards for security-based swap dealers and major security-based swap participants related to the timely and accurate confirmation, processing, netting, documentation, and valuation of all security-based swaps.

 
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: Independent agency 
CFR Citation: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: 15 U.S.C. 78a et seq.    15 U.S.C. 78c(b)    15 U.S.C. 78o-10    15 U.S.C. 78q    15 U.S.C. 78w(a)    15 U.S.C. 78mm   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  02/15/2019  84 FR 4614   
NPRM Comment Period End  04/16/2019 
Final Action  04/00/2020 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Carol McGee
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5870
Email: mcgeec@sec.gov

Andrew Bernstein
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5565
Email: bernsteina@sec.gov