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SEC RIN: 3235-AK93 Publication ID: Spring 2021 
Title: Registration and Regulation of Security-Based Swap Execution Facilities 

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.

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:
Action Source Description Date
Final  Statutory  Dodd-Frank Act requires action within a year of enactment.  07/21/2011 
Action Date FR Cite
NPRM  02/28/2011  76 FR 10948   
NPRM Comment Period End  04/04/2011    
NPRM Comment Period Reopened  05/23/2013  78 FR 30800   
NPRM Comment Period Reopened End  07/22/2013 
NPRM Comment Period Reopened  04/00/2022 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL:  
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