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 2015_register executive 2018-02-21 article Part III Rules and Regulations D09002ee1c7f7cf5d D09002ee1c7f7d02d United States Securities and Exchange Commission originator org United States Government Agency or Subagency In accordance with Section 763 and Section 766 of Title VII ("Title VII") of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act"), the Securities and Exchange Commission ("SEC" or "Commission") is adopting Regulation SBSR-- Reporting and Dissemination of Security-Based Swap Information ("Regulation SBSR") under the Securities Exchange Act of 1934 ("Exchange Act"). Regulation SBSR provides for the reporting of security-based swap information to registered security-based swap data repositories ("registered SDRs") or the Commission, and the public dissemination of security-based swap transaction, volume, and pricing information by registered SDRs. Registered SDRs are required to establish and maintain certain policies and procedures regarding how transaction data are reported and disseminated, and participants of registered SDRs that are registered security-based swap dealers or registered major security-based swap participants are required to establish and maintain policies and procedures that are reasonably designed to ensure that they comply with applicable reporting obligations. Regulation SBSR contains provisions that address the application of the regulatory reporting and public dissemination requirements to cross-border security-based swap activity as well as provisions for permitting market participants to satisfy these requirements through substituted compliance. Finally, Regulation SBSR will require a registered SDR to register with the Commission as a securities information processor. 80 FR 14564 https://www.govinfo.gov/app/details/FR-2015-03-19/2015-03124 2015-03124 fr19mr15-17 RIN 3235-AK80 8011-01-P Release No. 34-74244 File No. S7-34-10 https://www.govinfo.gov/app/details/FR-2015-03-19/2015-03124 https://www.govinfo.gov/content/pkg/FR-2015-03-19/html/2015-03124.htm https://www.govinfo.gov/content/pkg/FR-2015-03-19/pdf/2015-03124.pdf Brokers Reporting and Recordkeeping Requirements Securities 174 p. 14564 14737 80 FR 14564 Title 17 Part 242 17 CFR Part 242 RIN 3235-AK80 Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information; Federal Register Vol. 80, Issue RULE 2015-03124 III SECURITIES AND EXCHANGE COMMISSION 2015-05-18 Release No. 34-74244 File No. S7-34-10 8011-01-P 2015-03124 Final rule.

In accordance with Section 763 and Section 766 of Title VII ("Title VII") of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act"), the Securities and Exchange Commission ("SEC" or "Commission") is adopting Regulation SBSR-- Reporting and Dissemination of Security-Based Swap Information ("Regulation SBSR") under the Securities Exchange Act of 1934 ("Exchange Act"). Regulation SBSR provides for the reporting of security-based swap information to registered security-based swap data repositories ("registered SDRs") or the Commission, and the public dissemination of security-based swap transaction, volume, and pricing information by registered SDRs. Registered SDRs are required to establish and maintain certain policies and procedures regarding how transaction data are reported and disseminated, and participants of registered SDRs that are registered security-based swap dealers or registered major security-based swap participants are required to establish and maintain policies and procedures that are reasonably designed to ensure that they comply with applicable reporting obligations. Regulation SBSR contains provisions that address the application of the regulatory reporting and public dissemination requirements to cross-border security-based swap activity as well as provisions for permitting market participants to satisfy these requirements through substituted compliance. Finally, Regulation SBSR will require a registered SDR to register with the Commission as a securities information processor.

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