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SEC RIN: 3235-AN27 Publication ID: Fall 2023 
Title: Reporting of Security-Based Swap Positions 
Abstract:

The Division is considering recommending that the Commission adopt 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: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 240.10B-1    17 CFR 240.10B-101   
Legal Authority: 15 U.S.C. 78j-2   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  02/04/2022  87 FR 6652   
NPRM Comment Period End  11/01/2022 
NPRM Comment Period Reopened  06/26/2023  88 FR 41338   
NPRM Comment Period End  08/21/2023 
Final Action  04/00/2024 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Small Entities Affected: No  Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Related RINs: Split from 3235-AK77 
Agency Contact:
Rajal Patel
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5870
Email: patelrajal@sec.gov