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 2016-10-13 article Part III Rules and Regulations D09002ee1c7f357a5 D09002ee1c7f358bc United States Securities and Exchange Commission originator org United States Government Agency or Subagency The Securities and Exchange Commission ("SEC" or "Commission") is adopting amendments to Rule 17Ad-22 and adding new Rule 17Ab2-2 pursuant to Section 17A of the Securities Exchange Act of 1934 ("Exchange Act") and the Payment, Clearing, and Settlement Supervision Act of 2010 ("Clearing Supervision Act"), enacted in Title VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 ("Dodd-Frank Act"). Among other things, the rules establish enhanced standards for the operation and governance of those clearing agencies registered with the Commission ("registered clearing agencies") that meet the definition of "covered clearing agency." 81 FR 70786 https://www.govinfo.gov/app/details/FR-2016-10-13/2016-23891 2016-23891 fr13oc16-7 RIN 3235-AL48 8011-01-P Release No. 34-78961 File No. S7-03-14 https://www.govinfo.gov/app/details/FR-2016-10-13/2016-23891 https://www.govinfo.gov/content/pkg/FR-2016-10-13/html/2016-23891.htm https://www.govinfo.gov/content/pkg/FR-2016-10-13/pdf/2016-23891.pdf Reporting and Recordkeeping Requirements Securities 121 p. 70786 70906 81 FR 70786 Title 17 Part 240 17 CFR Part 240 RIN 3235-AL48 Standards for Covered Clearing Agencies; Federal Register Vol. 81, Issue RULE 2016-23891 III SECURITIES AND EXCHANGE COMMISSION 2016-12-12 Release No. 34-78961 File No. S7-03-14 8011-01-P 2016-23891 Final rule.

The Securities and Exchange Commission ("SEC" or "Commission") is adopting amendments to Rule 17Ad-22 and adding new Rule 17Ab2-2 pursuant to Section 17A of the Securities Exchange Act of 1934 ("Exchange Act") and the Payment, Clearing, and Settlement Supervision Act of 2010 ("Clearing Supervision Act"), enacted in Title VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 ("Dodd-Frank Act"). Among other things, the rules establish enhanced standards for the operation and governance of those clearing agencies registered with the Commission ("registered clearing agencies") that meet the definition of "covered clearing agency."

Effective date: December 12, 2016. Jeffrey Mooney, Assistant Director; Stephanie Park, Senior Special Counsel; Matthew Lee, Branch Chief; Elizabeth Fitzgerald, Branch Chief; or DeCarlo McLaren, Attorney- Adviser; Office of Market Infrastructure, 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 Standards for Covered Clearing Agencies , FT.com http://ec.europa.eu/internal_market/financial-markets/docs/derivatives/130513_equivalence-procedure_en.pdf http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:32012R0648 http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:32016D0377 http://papers.ssrn.com/sol3/Delivery.cfm/wp1521.pdf http://scholarship.law.berkeley.edu/californialawreview/vol101/iss6/3 http://www.bankofengland.co.uk/research/Documents/fspapers/fs_paper20.pdf http://www.bis.org/bcbs/ca/alrequse98.pdf http://www.bis.org/cpmi/publ/d106.pdf http://www.bis.org/cpmi/publ/d121.pdf http://www.bis.org/cpmi/publ/d125.pdf http://www.bis.org/cpmi/publ/d138.pdf http://www.bis.org/cpmi/publ/d145.pdf http://www.bis.org/cpmi/publ/d149.pdf http://www.bis.org/publ/bcbs107.pdf http://www.bis.org/publ/bcbs17.pdf http://www.bis.org/publ/bcbs189.pdf http://www.bis.org/publ/bcbs282.pdf http://www.bis.org/publ/cpss101a.pdf http://www.bis.org/publ/cpss92.pdf http://www.cato.org/pubs/pas/PA665.pdf http://www.cftc.gov/ucm/groups/public/@swaps/documents/dfsubmission/dfsubmission7_102210-transcrip.pdf http://www.cmegroup.com/rulebook/CME/I/8H/8H.pdf http://www.dtcc.com/annuals/2015/index.php http://www.dtcc.com/client-center/dtc-directories http://www.dtcc.com/client-center/ficc-gov-directories http://www.dtcc.com/client-center/ficc-mbs-directories http://www.dtcc.com/client-center/nscc-directories http://www.dtcc.com/legal/policy-and-compliance http://www.dtcc.com/legal/policy-and-compliance.aspx http://www.federalreserve.gov/releases/h10/hist/ http://www.freddiemac.com/finance/smm/july98/pdfs/hen_hirt.pdf http://www.ft.com/cms/s/0/bbe6678a-f5c5-11e5-803c-d27c7117d132.html#axzz48oFXlFrR http://www.imf.org/external/pubs/ft/wp/2009/wp09254.pdf http://www.imf.org/external/pubs/ft/wp/2011/wp1166.pdf http://www.nber.org/chapters/c2144.pdf http://www.nber.org/papers/w10327.pdf http://www.nber.org/papers/w18727 http://www.newyorkfed.org/research/epr/98v04n3/9810nish.pdf http://www.newyorkfed.org/research/staff_reports/sr424.pdf http://www.newyorkfed.org/research/staff_reports/sr616.pdf http://www.optionsclearing.com/components/docs/about/annual-reports/occ-2015-annual-report.pdf http://www.optionsclearing.com/components/docs/about/corporate-information/pfmi-disclosures/quant-disclosure-janmar2016.pdf http://www.optionsclearing.com/membership/member-information http://www.optionsclearing.com/membership/member-information/ http://www.risk.net/risk-magazine/news/2436901/eu-members-of-us-options-ccp-face-usd30bn-capital-hit http://www.sec.gov/about/offices/oia/oia_bilateral/belgium.pdf http://www.sec.gov/comments/s7-03-14/s70314.shtml http://www.ssrn.com/abstract=777508 http://www.suomenpankki.fi/en/julkaisut/tutkimukset/keskustelualoitteet/Documents/0226.pdf http://www.theocc.com/components/docs/about/annual-reports/occ-2015-annual-report.pdf https://www.bis.org/bcbs/publ/d354.pdf https://www.bis.org/publ/qtrpdf/r_qt1512g.pdf https://www.esma.europa.eu/sites/default/files/library/2016-278_eu-us_approach_ccp_equivalence.pdf https://www.esma.europa.eu/sites/default/files/library/list_of_applicants_tc-ccps.pdf https://www.federalreserve.gov/publications/other-reports/files/risk-management-supervision-report-201107.pdf https://www.ffiec.gov/nicpubweb/nicweb/nichome.aspx https://www.nbb.be/doc/cp/nl/aboutcbfa/mou/pdf/mou_2001-01-30_euroclearbank.pdf https://www.theice.com/clear-credit/participants https://www.theice.com/clear-credit/regulation https://www.theice.com/clear-europe/membership https://www.theice.com/clear-europe/regulation#quantitative-disclosures https://www.theice.com/publicdocs/clear_credit/ICE_Clear_Credit_Client_Clearing_Overview.pdf https://www.theice.com/publicdocs/ICE_at_a_glance.pdf Risk.net www.payscale.com www.salary.com Vol. 81, no. 198 Office of the Federal Register, National Archives and Records Administration 2016-10-13 continuing daily deposited born digital 337 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2016-10-13 P0b002ee191a8e33b 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr13oc16 https://www.govinfo.gov/app/details/FR-2016-10-13 https://www.govinfo.gov/content/pkg/FR-2016-10-13/pdf/FR-2016-10-13.pdf https://www.govinfo.gov/content/pkg/FR-2016-10-13/xml/FR-2016-10-13.xml fdlp 70595 70921 DGPO 2016-10-13 2024-06-01 FR-2016-10-13 machine generated eng FR FR-2016-10-13 81 198