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SEC Rulemakings list


Final Rule: Clearing Agency Standards

Final Rule: Clearing Agency Standards

RIN: 3235-AL13

Agency/Agencies: SEC

Federal Register Publication Date: 11/02/2012

Summary: The SEC adopted Rule 17Ad-22 in accordance with Section 17A of the Securities Exchange Act of 1934 (“Exchange Act”), Section 763 of Title VII (“Title VII”) of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”), and Section 805 of Title VIII of the Dodd-Frank Act. Rule 17Ad-22 establishes minimum requirements regarding how registered clearing agencies must maintain effective risk management procedures and controls as well as meet the statutory requirements under the Exchange Act on an ongoing basis.

Ianthe Zabel
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