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SEC RIN: 3235-AK77 Publication ID: Spring 2023 
Title: Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps; Prohibition Against Undue Influence Over Chief Compliance Officers 
Abstract:

The Division is considering recommending that the Commission adopt rules to prevent fraud, manipulation, and deception in connection with security-based swaps in accordance with section 9(j) of the Exchange Act, and rules to prohibit undue influence over Chief Compliance Officers of security-based swap dealers and major security-based swap participants.

 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 240.9j-1    17 CFR 240.15Fh-4(c)   
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  02/04/2022  87 FR 6652   
Second NPRM Comment Period End  03/21/2022 
NPRM Comment Period Reopened  10/18/2022  87 FR 63016   
NPRM Comment Period End  11/01/2022 
Final Action  10/00/2023 
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:
Pamela Carmody
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5870
Email: carmodyp@sec.gov