Final Rule
Exemption From the Definition of "Clearing Agency" for Certain Activities of Security-Based Swap Dealers and Security-Based Swap Execution Facilities
Overview
The Securities and Exchange Commission ("Commission') is adopting a rule pursuant to Section 36 of the Securities Exchange Act of 1934 ("Exchange Act') to exempt from the definition of "clearing agency' in Section 3(a)(23) of the Exchange Act certain activities of a registered security-based swap dealer, a registered security-based swap execution facility, and a person engaging in dealing activity in security-based swaps that is eligible for an exception from registration as a security-based swap dealer because the quantity of dealing activity is de minimis.
Prior Actions
Proposed Rule (34-69491)
Release Number
34-69491
SEC Issue Date
May 1, 2013
Federal Register Publish Date
May 23, 2013
Document Citation
78 FR 30800
RIN
3235-AK74, 3235-AK77, 3235-AK79, 3235-AK80, 3235-AK88, 3235-AK91, 3235-AK93, 3235-AL05, 3235-AL10, 3235-AL12, 3235-AL13
Final Rule (34-68080)
Release Number
34-68080
SEC Issue Date
Oct. 22, 2012
Federal Register Publish Date
Nov. 2, 2012
Document Citation
77 FR 66219
RIN
3235 AL13
Proposed Rule (34-64017)
Release Number
34-64017
SEC Issue Date
March 3, 2011
Federal Register Publish Date
March 16, 2011
Document Citation
76 FR 14471
RIN
3235-AL13
Resources
Details
File Number
S7-08-11
Rule Type
Final
Release Number
34-90667
SEC Issue Date
Dec. 16, 2020
Effective Date
April 2, 2021
Federal Register Publish Date
Feb. 1, 2021
Document Citation
86 FR 7637
RIN
3235-AK74