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 II Rules and Regulations D09002ee1c7f7cf5c D09002ee1c7f7d02c United States Securities and Exchange Commission originator org 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 Title 17 Part 232 17 CFR Part 232 Title 17 Part 240 17 CFR Part 240 Title 17 Part 249 17 CFR Part 249 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 , http://128.97.165.17/media/files/evans_lyons.pdf http://online.wsj.com/news/articles/SB10001424052702304026304579449552899867592 http://sec.gov/comments/s7-02-13/s70213.shtml http://www.bis.org/cpmi/ http://www.bis.org/publ/qtrpdf/r_qt1406.htm http://www.brookings.edu/∼/media/research/files/papers/2010/4/07%20derivatives%20litan/0407_derivatives_litan.pdf http://www.cftc.gov/ucm/groups/public/@internationalaffairs/documents/file/odrgreport033114.pdf http://www.cftc.gov/ucm/groups/public/@swaps/documents/dfsubmission/dfsubmission9_100110-reval.pdf http://www.cftc.gov/ucm/groups/public/@swaps/documents/dfsubmission/dfsubmission9_100510-wt.pdf http://www.financialstabilityboard.org/wp-content/uploads/r_141107.pdf http://www.ft.com/intl/cms/s/0/f49f635c-8081-11df-be5a-00144feabdc0.html#axzz3HLUjYNI7 http://www.gao.gov/new.items/d09397t.pdf http://www.iosco.org http://www.iosco.org/library/pubdocs/pdf/IOSCOPD321.pdf http://www.iosco.org/library/pubdocs/pdf/IOSCOPD366.pdf http://www.iosco.org/library/pubdocs/pdf/IOSCOPD377.pdf http://www.iosco.org/library/pubdocs/pdf/IOSCOPD417.pdf http://www.isdacdsmarketplace.com/exposures_and_activity http://www.sec.gov/about/forms/formadv-instructions.pdf http://www.sec.gov/about/forms/formadv.pdf http://www.sec.gov/about/forms/formbd.pdf http://www.sec.gov/about/forms/formsip.pdf http://www.sec.gov/about/offices/oia/oia_cooparrangements.shtml http://www.sec.gov/comments/4-625/4625-1.pdf http://www.sec.gov/comments/4-625/4625-5.pdf http://www.sec.gov/comments/4-636/4636-4.pdf http://www.sec.gov/comments/df-title-vii/swap-data-repositories/swap-data-repositories.shtml http://www.sec.gov/comments/s7-05-12/s70512-11.pdf http://www.sec.gov/comments/s7-06-11/s70611.shtml http://www.sec.gov/comments/s7-28-10/s72810.shtml http://www.sec.gov/comments/s7-34-10/s73410.shtml http://www.sec.gov/comments/s7-35-10/s73510.shtml http://www.sec.gov/news/press/2011/2011-151-transcript.pdf http://www.sec.gov/news/press/2011/2011-90-transcript.pdf http://www.sec.gov/spotlight/regreformcomments.shtml http://www.sec.gov/spotlight/xbrl/what-is-idata.shtml http://www.treasury.gov/resource-center/international/g7-g20/Documents/pittsburgh_summit_leaders_statement_250909.pdf http://www2.isda.org/functional-areas/research/surveys/operations-benchmarking-surveys https://www.theice.com/cds/MarkitSingleNames.shtml Vol. 80, no. 53 Office of the Federal Register, National Archives and Records Administration 2015-03-19 continuing daily deposited born digital 523 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2015-03-19 P0b002ee198849ef5 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr19mr15 https://www.govinfo.gov/app/details/FR-2015-03-19 https://www.govinfo.gov/content/pkg/FR-2015-03-19/pdf/FR-2015-03-19.pdf https://www.govinfo.gov/content/pkg/FR-2015-03-19/xml/FR-2015-03-19.xml fdlp 14291 14804 DGPO 2018-02-21 2024-06-02 FR-2015-03-19 machine generated eng FR FR-2015-03-19 80 53