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Final Rule: Exemptions For Security-Based Swaps Issued By Certain Clearing Agencies

Final Rule: Exemptions For Security-Based Swaps Issued By Certain Clearing Agencies

RIN: 3235-AL16

Agency/Agencies: SEC

Federal Register Publication Date: 04/05/2012

Summary: The SEC adopted exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for security-based swaps issued by certain clearing agencies satisfying certain conditions. The final rules exempt transactions by clearing agencies in these security-based swaps from all provisions of the Securities Act, other than the Section 17(a) anti-fraud provisions, as well as exempt these security-based swaps from Exchange Act registration requirements and from the provisions of the Trust Indenture Act, provided certain conditions are met.

Ianthe Zabel
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