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SEC RIN: 3235-AL85 Publication ID: Fall 2022 
Title: Electronic Filing of Broker-Dealer, Clearing Agency, and Self-Regulatory Organization Security-Based Swap Entity Reports 
Abstract:

The Division is considering recommending that the Commission propose rule amendments that would require the electronic submission to the Commission of certain filings by broker-dealers, security-based swap entities, self-regulatory organizations and clearing agencies.  Most of these reports are currently filed with the Commission in paper form. Merged with 3235-AM09. 

 
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 202.3, 232.100, 232.101 and 232.201    17 CFR 240.3a71-3, 240.6a-1 and 240.6a-2    17 CFR 240.6a-3, 240.6a-4 and 240.15Aa-1    17 CFR 240.15Aa-2, 240.15Aj-1 and 240.15Fi-3    17 CFR 240.15Fk-1, 240.17a-5 and 240.17a-12    17 CFR 240.17a-19 and 240.17a-22    17 CFR 240.17h-2T, 240.17Ab2-1 and 240.18a-7    17 CFR 240.19b-4, 240.19b-7 and 240.24b-2    17 CFR 249.1, 249.10, 249.801 and 249.200    17 CFR 249.328T, 249.617 and 249.617    17 CFR 249.617, 249.617, 249.635 and 249.801    17 CFR 249.819 and 249b.200   
Legal Authority: 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a)    15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78o-3, 78o-8, 78q, 78q-1, 78s, 78w, 78dd and 78ll    15 U.S.C. 77rrr    15 U.S.C. 80a-8    15 U.S.C. 80a-29    15 U.S.C. 80a-30    15 U.S.C. 80a-37    Pub. L. 111-203, sec. 761(b)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  04/00/2023 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Raymond Lombardo
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5755
Email: lombardor@sec.gov