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Final Rule: Registration Process for Security-Based Swap Dealers and Major Security-Based Swap Participants

Final Rule: Registration Process for Security-Based Swap Dealers and Major Security-Based Swap Participants

RIN: 3235-AL05

Agency/Agencies: SEC

Federal Register Publication Date: 08/14/2015

Summary: The SEC adopted new Rules 15Fb1-1 through 15Fb6-2 and Forms SBSE, SBSE-A, SBSE-BD, SBSE-C and SBSE-W in accordance with Section 15F of the Securities Exchange Act of 1934 (“Exchange Act”). Section 15F, which was added to the Exchange Act by Section 764(a) of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), required the SEC to issue rules to provide for the registration of security-based swap dealers (“SBS Dealers”) and major security-based swap participants (“Major SBS Participants”) (collectively, “SBS Entities”). These new rules and forms establish a process by which SBS Entities can register (and withdraw from registration) with the SEC.

Ianthe Zabel
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