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SEC RIN: 3235-AN19 Publication ID: Spring 2024 
Title: Covered Clearing Agency Resiliency and Recovery and Wind-Down Plans 

The Division is considering recommending that the Commission adopt rules to expand requirements regarding recovery and wind-down plans and to revise certain risk management requirements for clearing agencies. The Commission proposed to amend certain portions of the Covered Clearing Agency Standards under the Securities Exchange Act of 1934 to strengthen the existing rules regarding margin with respect to intraday margin and the use of substantive inputs to a covered clearing agency’s risk-based margin system. The Commission also proposed a new rule to establish requirements for the contents of a covered clearing agency’s recovery and wind- down plan.

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: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: 15 U.S.C. 78q-1    12 U.S.C. 5464(a)(2)   
Legal Deadline:  None
Action Date FR Cite
NPRM  05/30/2023  88 FR 34708   
NPRM Comment Period End  07/17/2023 
Final Action  10/00/2024 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Elizabeth Fitzgerald
Assistant Director
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6036