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 2012_register executive 2012-11-02 article Part II Rules and Regulations D09002ee1c7fc3bab D09002ee1c7fc3c15 United States Securities and Exchange Commission originator org United States Government Agency or Subagency The Securities and Exchange Commission ("SEC" or "Commission") is adopting a new rule in accordance with the Securities Exchange Act of 1934 ("Exchange Act"), and the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 ("Dodd-Frank Act"). The new rule establishes minimum requirements regarding how registered clearing agencies must maintain effective risk management procedures and controls as well as meet the statutory requirements under the Exchange Act on an ongoing basis. 77 FR 66220 https://www.govinfo.gov/app/details/FR-2012-11-02/2012-26407 2012-26407 fr02no12-3 RIN 3235 AL13 8011-01-P Release No. 34-68080 File No. S7-08-11 https://www.govinfo.gov/app/details/FR-2012-11-02/2012-26407 https://www.govinfo.gov/content/pkg/FR-2012-11-02/html/2012-26407.htm https://www.govinfo.gov/content/pkg/FR-2012-11-02/pdf/2012-26407.pdf Reporting and Recordkeeping Requirements Securities 67 p. 66220 66286 77 FR 66220 Title 17 Part 240 17 CFR Part 240 RIN 3235 AL13 Clearing Agency Standards; Federal Register Vol. 77, Issue RULE 2012-26407 II SECURITIES AND EXCHANGE COMMISSION 2013-01-02 Release No. 34-68080 File No. S7-08-11 8011-01-P 2012-26407 Final rule.

The Securities and Exchange Commission ("SEC" or "Commission") is adopting a new rule in accordance with the Securities Exchange Act of 1934 ("Exchange Act"), and the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 ("Dodd-Frank Act"). The new rule establishes minimum requirements regarding how registered clearing agencies must maintain effective risk management procedures and controls as well as meet the statutory requirements under the Exchange Act on an ongoing basis.

Effective Date: January 2, 2013. Jeffrey Mooney, Assistant Director; Katherine Martin, Senior Special Counsel; Doyle Horn, Special Counsel; Stephanie Park, Special Counsel; or Justin Byrne, Attorney-Advisor; Office of Clearance and Settlement, Division of Trading and Markets, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-7010 at (202) 551-5710. Reporting and Recordkeeping Requirements Securities Clearing Agency Standards , CFO.com http://cmegroup.com/investor-relations/annual-review/2011/downloads/CME_Group_2011_Annual_Report.pdf http://dm.epiq11.com/LBI/Project/default.aspx http://dtcc.com/about/annuals/2011/report.php http://files.shareholder.com/downloads/ICE/1860307941x0x556734/44EA48C5-CBCB-4468-BF54-048BFEEC8264/ICE_2011AR.pdf http://lawdigitalcommons.bc.edu/cgi/viewcontent.cgi?article=1346&context=lsfp http://occ.gov/news-issuances/bulletins/2011/bulletin-2011-12a.pdf http://www.bankofengland.co.uk/publications/Documents/fsr/fs_paper14.pdf http://www.banque-france.fr/fileadmin/user_upload/banque_de_france/publications/Revue_de_la_stabilite_financiere/etude15_rsf_1007.pdf http://www.bis.org/bcbs/ca/alrequse98.pdf http://www.bis.org/publ/bcbs107.pdf http://www.bis.org/publ/bcbs17.pdf http://www.bis.org/publ/cpss06.pdf http://www.bis.org/publ/cpss64.pdf http://www.bis.org/publ/cpss89.pdf http://www.bis.org/publ/cpss94/cacomments/cmegroup.pdf http://www.bis.org/publ/qtrpdf/r_qt0909f.pdf http://www.cftc.gov/ucm/groups/public/@swaps/documents/dfsubmission/dfsubmission7_102210-transcrip.pdf http://www.cmegroup.com/rulebook/CME/I/8/02.html http://www.cmegroup.com/rulebook/CME/I/8H/07.html http://www.dtcc.com/legal/compliance/DTC_Self-Assessment.pdf http://www.dtcc.com/legal/compliance/FICC_Self-Assessment.pdf http://www.dtcc.com/legal/compliance/NSCC_Self_Assessment.pdf http://www.federalreserve.gov/newsevents/reform_bearstearns.htm http://www.financialstabilityboard.org/publications/r_101025.pdf http://www.imf.org/external/pubs/ft/scr/2010/cr10128.pdf http://www.imf.org/external/pubs/ft/scr/2010/cr10129.pdf http://www.imf.org/external/pubs/ft/scr/2010/cr10130.pdf http://www.imf.org/external/pubs/ft/wp/2010/wp1099.pdf http://www.iosco.org/library/pubdocs/pdf/IOSCOPD123.pdf http://www.iosco.org/library/pubdocs/pdf/IOSCOPD350.pdf http://www.iosco.org/library/pubdocs/pdf/IOSCOPD377.pdf http://www.iosco.org/library/pubdocs/pdf/IOSCPD176.pdf http://www.lchclearnet.com/Images/CDSClear%20Rulebook_tcm6-61343.pdf http://www.llsdc.org/attachments/files/279/CRS-R41529.pdf http://www.newyorkfed.org/newsevents/news/markets/2011/SCL0331/pdf http://www.newyorkfed.org/research/epr/98v04n3/9810nish.pdf http://www.occ.treas.gov/news-issuances/bulletins/2011/bulletin-2011-12a.pdf http://www.optionsclearing.com/components/docs/about/annual-reports/occ_2011_annual_report.pdf http://www.rmcsinc.com/articles/OTCCleared.pdf http://www.sec.gov/comments/s7-08-11/s70811.shtml http://www.sec.gov/comments/s7-34-10/s73410-12.pdf http://www.sec.gov/news/studies/34-47638.htm http://www.sec.gov/rules/proposed/2011/34-64017fr.pdf http://www.stanford.edu/∼duffie/DuffieZhu.pdf https://www.theice.com/marketdata/reports/ReportCenter.shtml https://www.theice.com/publicdocs/clear_europe/ICE_Clear_Europe_CDS_Clearing_Overview.pdf www.imf.org/external/pubs/ft/scr/2010/cr10130.pdf www.payscale.com Vol. 77, no. 213 Office of the Federal Register, National Archives and Records Administration 2012-11-02 continuing daily deposited born digital 217 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2012-11-02 P0b002ee1837610a7 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr02no12 https://www.govinfo.gov/app/details/FR-2012-11-02 https://www.govinfo.gov/content/pkg/FR-2012-11-02/pdf/FR-2012-11-02.pdf https://www.govinfo.gov/content/pkg/FR-2012-11-02/xml/FR-2012-11-02.xml fdlp 66149 66359 DGPO 2012-11-02 2024-06-03 FR-2012-11-02 machine generated eng FR FR-2012-11-02 77 213