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SEC Rulemakings list

   

Final Rule: Security-Based Swap Data Repository Registration, Duties, and Core Principles

Final Rule: Security-Based Swap Data Repository Registration, Duties, and Core Principles

RIN: 3235–AK79

Agency/Agencies: SEC

Federal Register Publication Date: 03/19/2015

Summary: Pursuant to Section 763(i) of Title VII (“Title VII”) of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, the SEC adopted new rules under the Securities Exchange Act of 1934 governing the security-based swap data repository (“SDR”) registration process, duties, and core principles. The SEC also adopted a new registration form. Additionally, the SEC amended several of its existing rules and regulations in order to accommodate SDRs. First, the SEC amended 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 SEC amended Regulation S-T by, among other things, adding a new rule that specifically applies to the electronic filing of SDRs’ financial reports.

Ianthe Zabel
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