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Security-Based Swap Data Repository Registration, Duties, and Core Principles
Part II
Rules and Regulations
D09002ee1bdc33847
D09002ee1bdc33916
United States
Securities and Exchange Commission
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United States Government Agency or Subagency
Pursuant to Section 763(i) 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 (``Commission'') is adopting new rules under the Securities Exchange Act of 1934 (``Exchange Act'') governing the security-based swap data repository (``SDR'') registration process, duties, and core principles. The Commission is also adopting a new registration form. Additionally, the Commission is amending several of its existing rules and regulations in order to accommodate SDRs. First, the Commission is amending Regulation S-T and Exchange Act Rule 24b-2 to clarify that all filings by SDRs, including any confidential portion, and their requests for confidential treatment must be filed electronically. Second, the Commission is amending Regulation S-T by, among other things, adding a new rule that specifically applies to the electronic filing of SDRs' financial reports.
80 FR 14438
https://www.govinfo.gov/app/details/FR-2015-03-19/2015-03127
2015-03127
fr19mr15-16
RIN 3235-AK79
8011-01-P
Release No. 34-74246
File No. S7-35-10
https://www.govinfo.gov/app/details/FR-2015-03-19/2015-03127
https://www.govinfo.gov/content/pkg/FR-2015-03-19/html/2015-03127.htm
https://www.govinfo.gov/content/pkg/FR-2015-03-19/pdf/2015-03127.pdf
Reporting and Recordkeeping Requirements
Confidential Business Information
Securities
125 p.
14438
14562
80 FR 14438
Code of Federal Regulations
Title 17 Part 232
17 CFR Part 232
Code of Federal Regulations
Title 17 Part 240
17 CFR Part 240
Code of Federal Regulations
Title 17 Part 249
17 CFR Part 249
Regulation Identification Number 3235-AK79
RIN 3235-AK79
Security-Based Swap Data Repository Registration, Duties, and Core Principles; Federal Register Vol. 80, Issue
RULE
2015-03127
II
SECURITIES AND EXCHANGE COMMISSION
2015-05-18
Release No. 34-74246
File No. S7-35-10
8011-01-P
2015-03127
Final rule.
Pursuant to Section 763(i) 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 (``Commission'') is adopting new rules under the Securities Exchange Act of 1934 (``Exchange Act'') governing the security-based swap data repository (``SDR'') registration process, duties, and core principles. The Commission is also adopting a new registration form. Additionally, the Commission is amending several of its existing rules and regulations in order to accommodate SDRs. First, the Commission is amending Regulation S-T and Exchange Act Rule 24b-2 to clarify that all filings by SDRs, including any confidential portion, and their requests for confidential treatment must be filed electronically. Second, the Commission is amending Regulation S-T by, among other things, adding a new rule that specifically applies to the electronic filing of SDRs' financial reports.
Effective Date: May 18, 2015.
Paula Jenson, Acting Chief Counsel; Jo Anne Swindler, Assistant Director; Richard Vorosmarti, Branch Chief; Angie Le, Special Counsel; or Kevin Schopp, Special Counsel, Division of Trading and Markets, at (202) 551-5750, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549. For questions regarding the SDR registration process, please contact Jeffrey Mooney, Assistant Director, Stephanie Park, Senior Special Counsel, Andrew Shanbrom, Special Counsel, or Elizabeth Fitzgerald, Special Counsel, Division of Trading and Markets, at (202) 551-5710.
Reporting and Recordkeeping Requirements
Confidential Business Information
Securities
Security-Based Swap Data Repository Registration, Duties, and Core Principles
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https://www.govinfo.gov/app/details/FR-2015-03-19
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