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SEC | RIN: 3235-AK74 | Publication ID: Fall 2021 |
Title: Conflicts of Interest for Clearing Agencies of Security-Based Swaps | |
Abstract:
The Commission proposed regulations to impose ownership and voting limits and governance arrangements applicable to security-based swap clearing agencies and security-based swap execution facilities to mitigate potential conflicts of interest that could exist to those entities. The proposed regulations related to the mitigation of conflicts of interest in security-based swap execution facilities have been merged into 3235-AK93. The Division is considering recommending that the Commission re-propose regulations to require governance arrangements for security-based swap clearing agencies to mitigate potential conflicts of interest that could exist for those entities. |
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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 242 | |
Legal Authority: Pub. L. 111-203, sec. 765 Pub. L. 111-203, sec. 763 15 U.S.C. 78c 15 U.S.C. 78f 15 U.S.C. 78k-1 15 U.S.C. 78q-1 15 U.S.C. 78w(a) |
Legal Deadline:
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Overall Description of Deadline: Pub. L. 111-203, sec. 765. The Dodd-Frank Act requires the Commission to adopt rules to mitigate conflicts of interest for security-based swap clearing agencies, security-based swap execution facilities, and security-based swap exchanges. |
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Timetable:
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Regulatory Flexibility Analysis Required: No | Government Levels Affected: None |
Small Entities Affected: No | Federalism: No |
Included in the Regulatory Plan: No | |
RIN Information URL: www.sec.gov/rules/proposed/2011/34-64018.pdf | |
RIN Data Printed in the FR: No | |
Related RINs: Merged with 3235-AL13, Related to 3235-AK93 | |
Agency Contact: Matthew Lee Assistant Director, Division of Trading and Markets Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-5794 Email: leemat@sec.gov |