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Regulatory Information
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2010-10-20
article
Reporting of Security-Based Swap Transaction Data
Rules and Regulations
D09002ee1be3256e9
D09002ee1be32576c
United States
Securities and Exchange Commission
originator
org
United States Government Agency or Subagency
Section 766 of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act'') requires the Securities and Exchange Commission (``Commission'') to adopt an interim final rule for the reporting of security-based swaps entered into before July 21, 2010, the terms of which had not expired as of that date (``pre-enactment security-based swap transactions''), within 90 days of the enactment of the Dodd-Frank Act. Pursuant to this requirement, the Commission today is adopting an interim final temporary rule that requires specified counterparties to pre-enactment security-based swap transactions to report certain information relating to pre-enactment security-based swaps to a registered security-based swap data repository or to the Commission by the compliance date established in the security-based swap reporting rules required under Sections 3C(e) and 13A(a) of the Securities Exchange Act of 1934 (``Exchange Act''),\1\ or within 60 days after a registered security- based swap data repository commences operations to receive and maintain data concerning such security-based swaps, whichever occurs first and report information relating to pre-enactment security-based swaps to the Commission upon request. The Commission also is issuing an Interpretive Note to the rule that states that counterparties that may be required to report to the Commission will need to preserve information pertaining to the terms of these pre-enactment security- based swaps. ---------------------------------------------------------------------------
75 FR 64643
https://www.govinfo.gov/app/details/FR-2010-10-20/2010-26217
2010-26217
FR20OC10-6
RIN 3235-AK73
8011-01-P
Release No. 34-63094
File No. S7-28-10
https://www.govinfo.gov/app/details/FR-2010-10-20/2010-26217
https://www.govinfo.gov/content/pkg/FR-2010-10-20/html/2010-26217.htm
https://www.govinfo.gov/content/pkg/FR-2010-10-20/pdf/2010-26217.pdf
Reporting and Recordkeeping Requirements
Securities
12 p.
64643
64654
75 FR 64643
Code of Federal Regulations
Title 17 Part 240
17 CFR Part 240
Regulation Identification Number 3235-AK73
RIN 3235-AK73
Reporting of Security-Based Swap Transaction Data; Federal Register Vol. 75, Issue
RULE
2010-26217
SECURITIES AND EXCHANGE COMMISSION
2010-10-20
Release No. 34-63094
File No. S7-28-10
8011-01-P
2010-26217
Interim final temporary rule; request for comments.
Section 766 of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act'') requires the Securities and Exchange Commission (``Commission'') to adopt an interim final rule for the reporting of security-based swaps entered into before July 21, 2010, the terms of which had not expired as of that date (``pre-enactment security-based swap transactions''), within 90 days of the enactment of the Dodd-Frank Act. Pursuant to this requirement, the Commission today is adopting an interim final temporary rule that requires specified counterparties to pre-enactment security-based swap transactions to report certain information relating to pre-enactment security-based swaps to a registered security-based swap data repository or to the Commission by the compliance date established in the security-based swap reporting rules required under Sections 3C(e) and 13A(a) of the Securities Exchange Act of 1934 (``Exchange Act''),\1\ or within 60 days after a registered security- based swap data repository commences operations to receive and maintain data concerning such security-based swaps, whichever occurs first and report information relating to pre-enactment security-based swaps to the Commission upon request. The Commission also is issuing an Interpretive Note to the rule that states that counterparties that may be required to report to the Commission will need to preserve information pertaining to the terms of these pre-enactment security- based swaps. ---------------------------------------------------------------------------
Effective Date: Sec. 240.13Aa-2T is effective October 20, 2010 and will remain in effect until January 12, 2012. If the Commission publishes permanent recordkeeping and reporting rules for security- based transactions before January 12, 2012, that rule will terminate the effectiveness of Sec. 240.13Aa-2T.
David Michehl, Senior Special Counsel, at (202) 551-5627, Sarah Albertson, Special Counsel, at (202) 551-5647, Natasha Cowen, Special Counsel, at (202) 551-5652, Yvonne Fraticelli, Special Counsel, at (202) 551-5654, Geoffrey Pemble, Special Counsel, at (202) 551-5628, Brian Trackman, Special Counsel, at (202) 551-5616, Mia Zur, Special Counsel, at (202) 551-5638, Kathleen Gray, Attorney, at (202) 551-5305, Division of Trading and Markets, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-7010.
Reporting and Recordkeeping Requirements
Securities
Reporting of Security-Based Swap Transaction Data
,
rule-comments@sec.gov
http://www.bis.org/statistics/derstats.htm
http://www.dtcc.com/products/derivserv/data_table_i.php
http://www.regulations.gov
http://www.sec.gov/rules/final.shtml
http://www.sec.gov/rules/interim-final-temp.shtml
Federal Register
Vol. 75, no. 202
Office of the Federal Register, National Archives and Records Administration
2010-10-20
continuing
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deposited
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344 p.
Table of Contents:
AE 2.7:
GS 4.107:
AE 2.106:
KF70.A2
https://www.govinfo.gov/app/details/FR-2010-10-20
P0b002ee180b246dc
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0042-1219
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000582072
f:FR20OC10
https://www.govinfo.gov/app/details/FR-2010-10-20
https://www.govinfo.gov/content/pkg/FR-2010-10-20/pdf/FR-2010-10-20.pdf
https://www.govinfo.gov/content/pkg/FR-2010-10-20/xml/FR-2010-10-20.xml
fdlp
64615
64948
DGPO
2010-10-20
2023-05-17
FR-2010-10-20
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eng
FR
FR-2010-10-20
75
202