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2010-10-26
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Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges With Respect to Security-Based Swaps Under Regulation MC
Part IV
Proposed Rules
D09002ee1bdd1501f
D09002ee1bdd15148
United States
Securities and Exchange Commission
originator
org
United States Government Agency or Subagency
In accordance with Section 765 (``Section 765'') of Title VII (``Title VII'') of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (``Dodd-Frank Act''), the Securities and Exchange Commission (``SEC'' or ``Commission'') is proposing Regulation MC under the Securities Exchange Act of 1934 (``Exchange Act'') for clearing agencies that clear security-based swaps (``security-based swap clearing agencies'') and for security-based swap execution facilities (``SB SEFs'') and national securities exchanges that post or make available for trading security-based swaps (``SBS exchanges''). Regulation MC is designed to mitigate potential conflicts of interest that could exist at these entities. Specifically, the Commission seeks to mitigate the potential conflicts of interest through conditions and structures relating to ownership, voting, and governance of security- based swap clearing agencies, SB SEFs, and SBS exchanges.
75 FR 65882
https://www.govinfo.gov/app/details/FR-2010-10-26/2010-26315
2010-26315
FR26OC10-25
RIN 3235-AK74
8011-01-P
Release No. 34-63107
File No. S7-27-10
https://www.govinfo.gov/app/details/FR-2010-10-26/2010-26315
https://www.govinfo.gov/content/pkg/FR-2010-10-26/html/2010-26315.htm
https://www.govinfo.gov/content/pkg/FR-2010-10-26/pdf/2010-26315.pdf
Reporting and Recordkeeping Requirements
Securities
51 p.
65882
65932
75 FR 65882
Code of Federal Regulations
Title 17 Part 242
17 CFR Part 242
Regulation Identification Number 3235-AK74
RIN 3235-AK74
Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges With Respect to Security-Based Swaps Under Regulation MC; Federal Register Vol. 75, Issue
PRORULE
2010-26315
IV
SECURITIES AND EXCHANGE COMMISSION
2010-11-26
Release No. 34-63107
File No. S7-27-10
8011-01-P
2010-26315
Proposed rule.
In accordance with Section 765 (``Section 765'') of Title VII (``Title VII'') of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (``Dodd-Frank Act''), the Securities and Exchange Commission (``SEC'' or ``Commission'') is proposing Regulation MC under the Securities Exchange Act of 1934 (``Exchange Act'') for clearing agencies that clear security-based swaps (``security-based swap clearing agencies'') and for security-based swap execution facilities (``SB SEFs'') and national securities exchanges that post or make available for trading security-based swaps (``SBS exchanges''). Regulation MC is designed to mitigate potential conflicts of interest that could exist at these entities. Specifically, the Commission seeks to mitigate the potential conflicts of interest through conditions and structures relating to ownership, voting, and governance of security- based swap clearing agencies, SB SEFs, and SBS exchanges.
Comments should be submitted on or before November 26, 2010.
Proposals relating to security-based swap clearing agencies: Catherine Moore, Senior Special Counsel, at (202) 551-5710; and Joseph P. Kamnik, Special Counsel, at (202) 551- 5710; Office of Clearance and Settlement, Division of Trading and Markets, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-7010; proposals relating to security-based swap execution facilities and national securities exchanges that post or make available for trading security-based swaps: Nancy Burke-Sanow, Assistant Director, at (202) 551-5621; Molly Kim, Special Counsel, at (202) 551-5644; Steven Varholik, Special Counsel, at (202) 551-5615; Sarah Schandler, Attorney, at (202) 551-7145; and Iliana Lundblad, Attorney, at (202) 551-5871; Office of Market Supervision, Division of Trading and Markets, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-7010.
Reporting and Recordkeeping Requirements
Securities
rule-comments@sec.gov
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Federal Register
Vol. 75, no. 206
Office of the Federal Register, National Archives and Records Administration
2010-10-26
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https://www.govinfo.gov/app/details/FR-2010-10-26
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