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SEC | RIN: 3235-AK93 | Publication ID: Fall 2021 |
Title: Registration and Regulation of Security-Based Swap Execution Facilities | |
Abstract:
The Division is considering recommending that the Commission repropose rules for the registration and regulation of security-based swap execution facilities (SBSEFs). These rules would, among other things, implement statutory core principles for SBSEFs set forth in the Dodd-Frank Act and address conflicts of interest in SBSEFs (as mandated by section 765 of the Dodd-Frank Act) from RIN 3235-AK74 into this rulemaking. |
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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 |