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SEC | RIN: 3235-AK93 | Publication ID: Spring 2022 |
Title: Security-Based Swap Execution Facilities | |
Abstract:
The Division is considering recommending that the Commission propose rules regarding the registration and regulation of security-based swap execution facilities (SBSEFs), conflicts of interest in SBSEFs (as mandated by section 765 of the Dodd-Frank Act) and the cross-border aspects of security-based swap execution. |
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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 Gaw Division of Trading and Markets Securities and Exchange Commission Division of Market Regulation, 100 F Street NE, Washington, DC 20549 Phone:202 551-5602 Email: gawm@sec.gov |