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 2016_register executive 2018-02-09 article Part II Rules and Regulations D09002ee1c7f4dda1 D09002ee1c7f4deb5 United States Securities and Exchange Commission originator org United States Government Agency or Subagency The Securities and Exchange Commission ("SEC" or "Commission") is adopting certain amendments to Regulation SBSR-- Reporting and Dissemination of Security-Based Swap Information ("Regulation SBSR"). Specifically, new Rule 901(a)(1) of Regulation SBSR requires a platform (i.e., a national securities exchange or security-based swap execution facility ("SB SEF") that is registered with the Commission or exempt from registration) to report a security- based swap executed on such platform that will be submitted to clearing. New Rule 901(a)(2)(i) of Regulation SBSR requires a registered clearing agency to report any security-based swap to which it is a counterparty. The Commission is adopting certain conforming amendments to other provisions of Regulation SBSR in light of the newly adopted amendments to Rule 901(a), and an amendment that would require registered security-based swap data repositories ("SDRs") to provide the security-based swap transaction data that they are required to publicly disseminate to the users of the information on a non-fee basis. The Commission also is adopting amendments to Rule 908(a) to extend Regulation SBSR's regulatory reporting and public dissemination requirements to additional types of cross-border security-based swaps. The Commission is offering guidance regarding the application of Regulation SBSR to prime brokerage transactions and to the allocation of cleared security-based swaps. Finally, the Commission is adopting a new compliance schedule for the portions of Regulation SBSR for which the Commission has not previously specified compliance dates. 81 FR 53546 https://www.govinfo.gov/app/details/FR-2016-08-12/2016-17032 2016-17032 fr12au16-25 RIN 3235-AL71 8011-01-P Release No. 34-78321 File No. S7-03-15 https://www.govinfo.gov/app/details/FR-2016-08-12/2016-17032 https://www.govinfo.gov/content/pkg/FR-2016-08-12/html/2016-17032.htm https://www.govinfo.gov/content/pkg/FR-2016-08-12/pdf/2016-17032.pdf Brokers Reporting and Recordkeeping Requirements Securities 110 p. 53546 53655 81 FR 53546 Title 17 Part 242 17 CFR Part 242 RIN 3235-AL71 Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information; Federal Register Vol. 81, Issue RULE 2016-17032 II SECURITIES AND EXCHANGE COMMISSION 2016-10-11 Release No. 34-78321 File No. S7-03-15 8011-01-P 2016-17032 Final rule.

The Securities and Exchange Commission ("SEC" or "Commission") is adopting certain amendments to Regulation SBSR-- Reporting and Dissemination of Security-Based Swap Information ("Regulation SBSR"). Specifically, new Rule 901(a)(1) of Regulation SBSR requires a platform (i.e., a national securities exchange or security-based swap execution facility ("SB SEF") that is registered with the Commission or exempt from registration) to report a security- based swap executed on such platform that will be submitted to clearing. New Rule 901(a)(2)(i) of Regulation SBSR requires a registered clearing agency to report any security-based swap to which it is a counterparty. The Commission is adopting certain conforming amendments to other provisions of Regulation SBSR in light of the newly adopted amendments to Rule 901(a), and an amendment that would require registered security-based swap data repositories ("SDRs") to provide the security-based swap transaction data that they are required to publicly disseminate to the users of the information on a non-fee basis. The Commission also is adopting amendments to Rule 908(a) to extend Regulation SBSR's regulatory reporting and public dissemination requirements to additional types of cross-border security-based swaps. The Commission is offering guidance regarding the application of Regulation SBSR to prime brokerage transactions and to the allocation of cleared security-based swaps. Finally, the Commission is adopting a new compliance schedule for the portions of Regulation SBSR for which the Commission has not previously specified compliance dates.

Effective Date: October 11, 2016. Michael Gaw, Assistant Director, at (202) 551-5602; Sarah Albertson, Special Counsel, at (202) 551-5647; Yvonne Fraticelli, Special Counsel, at (202) 551-5654; Kathleen Gross, Special Counsel, at (202) 551-5305; David Michehl, Special Counsel, at (202) 551-5627; or Geoffrey Pemble, Special Counsel, at (202) 551-5628; all of the Division of Trading and Markets, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-7010. Brokers Reporting and Recordkeeping Requirements Securities Reporting and Dissemination of Security-Based Swap Information , http://eur-lex.europa.eu/legal-content/EN/TXT/HTML/?uri=CELEX:32014R0600&from=EN http://marketsmedia.com/bunched-orders-challenge-sefs/ http://sirt.cftc.gov/sirt/sirt.aspx?Topic=DataRepositories http://sirt.cftc.gov/SIRT/SIRT.aspx?Topic=SwapExecutionFacilities http://www.bauer.uh.edu/spirrong/Clearing_silos.pdf http://www.bbhub.io/professional/sites/4/BSEF-Rulebook-December-7-2015.pdf http://www.bis.org/statistics/derstats.htm http://www.cmegroup.com/trading/cds/files/cleared-cds-product-specs.xls http://www.dtcc.com/derivatives-services/trade-information-warehouse http://www.financialstabilityboard.org/wp-content/uploads/OTC-Derivatives-10th-Progress-Report.pdf http://www.fow.com/3273356/Cleared-bunched-trades-could-become-mandatory-rule.html http://www.fsb.org/wp-content/uploads/OTC-Derivatives-10th-Progress-Report.pdf http://www.fsb.org/wp-content/uploads/Peer-review-on-trade-reporting.pdf http://www.g20.utoronto.ca/2011/2011-cannes-declaration-111104-en.html http://www.jscc.co.jp/en/data/en/2015/05/Settlement_Prices.pdf http://www.lchclearnet.com/documents/731485/762470/cdsclear_product_list_oct_2015_.xlsx/20b23881-9973-4671-8e78-ee4cfc04b693 http://www.leiroc.org/publications/gls/lou_20150930-1.pdf http://www.leiroc.org/publications/gls/lou_20151019-1.pdf http://www.marketaxess.com/pdfs/cds/MKTX_SEF_Rulebook_Effective_08-24-2015.pdf http://www.risk.net/risk-magazine/feature/2423975/regional-swaps-booking-replacing-global-hubs https://riskfocus.com/the-role-of-swap-execution-facilities-sefs-in-derivatives-trade-execution-clearing-and-reporting-part-2/ https://www.theice.com/marketdata/reports/99 https://www.theice.com/publicdocs/clear_credit/ICE_Clear_Credit_Clearing_Eligible_Products.xls https://www.theice.com/publicdocs/clear_europe/ICE_Clear_Europe_Cleared_Products_List.xlsx Risk.net Vol. 81, no. 156 Office of the Federal Register, National Archives and Records Administration 2016-08-12 continuing daily deposited born digital 671 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2016-08-12 P0b002ee1984d30b1 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr12au16 https://www.govinfo.gov/app/details/FR-2016-08-12 https://www.govinfo.gov/content/pkg/FR-2016-08-12/pdf/FR-2016-08-12.pdf https://www.govinfo.gov/content/pkg/FR-2016-08-12/xml/FR-2016-08-12.xml fdlp 53245 53905 DGPO 2018-02-09 2024-06-01 FR-2016-08-12 machine generated eng FR FR-2016-08-12 81 156