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SEC RIN: 3235-AM13 Publication ID: Fall 2019 
Title: Amendments and Guidance Regarding Certain Title VII Cross-Border Rules 
Abstract:

The Division is considering recommending that the Commission adopt guidance pertaining to the application of certain uses of the terms "arranged" and "negotiated" in connection with the cross-border application of security-based swap regulation under the Exchange Act and to the certification and opinion of counsel requirements in Exchange Act Rule 15Fb2-4 and Rule 3a71-6 and amendments to Exchange Act Rule 15Fb2-1, Exchange Act Rule 18a-5, and Rule of Practice 194 pertaining to the cross-border application of certain rules under Title VII.  

 
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(a)(71)    15 U.S.C. 78c(b)    15 U.S.C. 78c(o)-10    15 U.S.C. 78q(a)    15 U.S.C. 78w(a)    15 U.S.C. 78dd(c)    15 U.S.C. 8341   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  05/24/2019  84 FR 24206   
NPRM Comment Period End  07/23/2019 
Final Action  04/00/2020 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
International Impacts: This regulatory action will be likely to have international trade and investment effects, or otherwise be of international interest.
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