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Dodd-Frank Regulatory Reform Rules

SEC - Exemptions for security-based swaps issued by certain clearing agencies.

The final rules exempt transactions by clearing agencies in certain security-based swaps from all provisions of the Securities Act, other than the anti-fraud provisions, as well as exempt these security-based swaps from Securities Exchange Act registration requirements and from the provisions of the Trust Indenture Act, provided certain conditions are met. The final rules are adopted as proposed without modification. The proposed rule was published in the Federal Register on June 15, 2011 (76 FR 34920).


Published: 4/5/2012
Effective Date(s): 4/16/2012

Submit Your Comments:

Comment period is closed.

Agency Information:

Agency: SEC
Agency Reference: Release Nos. 33-9308, 34-66703, and 39-2484, File No. S7-22-11

DFA Section(s):

763, 766

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