United States Government Publishing Office publisher pbl distributor dst United States National Archives and Records Administration Office of the Federal Register author aut Government Organization text government publication eng FR Regulatory Information 2011_register executive 2011-10-22 article Part II Proposed Rules D09002ee1c7ff2222 D09002ee1c7ff2324 United States Securities and Exchange Commission originator org United States Government Agency or Subagency Section 764(a) 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 issue rules to provide for the registration of security-based swap dealers ("SBS Dealers") and major security-based swap participants (collectively, "SBS Entities"). Pursuant to this requirement, the Commission is proposing new Rules 15Fb1-1 through 15Fb6-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), to provide for the registration of SBS Entities. The Commission is also proposing forms to facilitate registration (and withdrawal from registration) of these entities. 76 FR 65784 https://www.govinfo.gov/app/details/FR-2011-10-24/2011-26889 2011-26889 fr24oc11-16 RIN 3235-AL05 8011-01-P Release No. 34-65543 File No. S7-40-11 https://www.govinfo.gov/app/details/FR-2011-10-24/2011-26889 https://www.govinfo.gov/content/pkg/FR-2011-10-24/html/2011-26889.htm https://www.govinfo.gov/content/pkg/FR-2011-10-24/pdf/2011-26889.pdf Registration Reporting and Recordkeeping Requirements Securities Security-Based Swaps Security-Based Swap Dealers Security-Based Swap Participants Forms 101 p. 65784 65884 76 FR 65784 Title 17 Part 240 17 CFR Part 240 Title 17 Part 249 17 CFR Part 249 RIN 3235-AL05 Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants; Federal Register Vol. 76, Issue PRORULE 2011-26889 II SECURITIES AND EXCHANGE COMMISSION 2011-12-19 Release No. 34-65543 File No. S7-40-11 8011-01-P 2011-26889 Proposed rule.

Section 764(a) 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 issue rules to provide for the registration of security-based swap dealers ("SBS Dealers") and major security-based swap participants (collectively, "SBS Entities"). Pursuant to this requirement, the Commission is proposing new Rules 15Fb1-1 through 15Fb6-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), to provide for the registration of SBS Entities. The Commission is also proposing forms to facilitate registration (and withdrawal from registration) of these entities.

Comments should be received on or before December 19, 2011. David W. Blass, Chief Counsel; Joseph Furey, Assistant Chief Counsel; or Bonnie Gauch, Special Counsel, Division of Trading and Markets, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-7010. Registration Reporting and Recordkeeping Requirements Securities Security-Based Swaps Security-Based Swap Dealers Security-Based Swap Participants Forms Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants , rule-comments@sec.gov http://www.ailcorp.com/registeredagent.htm http://www.incnow.com/registered_agent.shtml http://www.nfa.futures.org/nfamanual/NFAManualTOC.aspx?Section=8 http://www.regulations.gov http://www.sec.gov/comments/s7-34-10/s73410-3.pdf http://www.sec.gov/comments/s7-39-10/s73910-8.pdf http://www.sec.gov/comments/s7-39-10/s73910-9.pdf http://www.sec.gov/rules/proposed.shtml Vol. 76, no. 205 Office of the Federal Register, National Archives and Records Administration 2011-10-24 continuing daily deposited born digital 328 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2011-10-24 P0b002ee180ea9409 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr24oc11 https://www.govinfo.gov/app/details/FR-2011-10-24 https://www.govinfo.gov/content/pkg/FR-2011-10-24/pdf/FR-2011-10-24.pdf https://www.govinfo.gov/content/pkg/FR-2011-10-24/xml/FR-2011-10-24.xml fdlp 65609 65926 DGPO 2011-10-22 2024-06-03 FR-2011-10-24 machine generated eng FR FR-2011-10-24 76 205