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SEC RIN: 3235-AK77 Publication ID: Fall 2021 
Title: Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps and Disclosure of Security-Based Swap Positions 
Abstract:

The Division is considering recommending that the Commission repropose rules to prevent fraud, manipulation, and deception in connection with security-based swaps in accordance with section 9(j) of the Exchange Act, as well as propose rules under section 10B of the Exchange Act to require certain disclosures in connection with security-based swap positions.

 
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 240.9j-1   
Legal Authority: 15 U.S.C. 78b    15 U.S.C. 78c(b)    15 U.S.C. 78i(i)    15 U.S.C. 78i(j)    15 U.S.C. 78j    15 U.S.C. 78o    15 U.S.C. 78o-8    15 U.S.C. 78w(a)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  11/08/2010  75 FR 68560   
NPRM Comment Period End  12/23/2010    
NPRM Comment Period Reopened  05/23/2013  78 FR 30800   
NPRM Comment Period Reopened End  07/22/2013 
Second NPRM  12/00/2021 
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/2010/34-63263.pdf  
RIN Data Printed in the FR: No 
Agency Contact:
Josephine J. Tao
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5799
Email: taoj@sec.gov