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SEC | RIN: 3235-AK93 | Publication ID: Spring 2021 |
Title: Registration and Regulation of Security-Based Swap Execution Facilities | |
Abstract:
The Commission proposed rules for the registration and regulation of security-based swap execution facilities ("SBSEFs"). These rules would, among other things, implement 14 statutory core principles for SBSEFs set forth in the Dodd-Frank Act. The comment period was reopened on May 23, 2013. The Commission separately proposed Regulation MC to address conflicts of interest in SBSEFs and other registered entities (in RIN 3235-AK74). The Division is considering recommending that the Commission seek comments on all aspects of the SBSEF proposal. |
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Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
RIN Status: Previously published in the Unified Agenda | Agenda Stage of Rulemaking: Proposed Rule Stage |
Major: Undetermined | Unfunded Mandates: No |
CFR Citation: 17 CFR 240.3a-1 17 CFR 240.15a-12 17 CFR 242.800 to 823 17 CFR 249.1700 | |
Legal Authority: 15 U.S.C. 78c-4 15 U.S.C. 78c 15 U.S.C. 78f 15 U.S.C. 78o 15 U.S.C. 78s 15 U.S.C. 78w(a) 15 U.S.C. 78dd(b) 15 U.S.C. 78dd(c) 15 U.S.C. 78mm |
Legal Deadline:
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Timetable:
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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/2011/34-63825 | |
RIN Data Printed in the FR: No | |
Related RINs: Related to 3235-AK74 | |
Agency Contact: Michael Bradley Division of Trading and Markets Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-5594 Email: bradleym@sec.gov |