17 CFR 249 - FORMS, SECURITIES EXCHANGE ACT OF 1934 | LII / Legal Information Institute

§ 249.0-1 — Availability of forms.
SUBPART A — Forms for Registration or Exemption of, and Notification of Action Taken by, National Securities Exchanges (§§ 249.1 - 249.26)
SUBPART B — Forms for Reports To Be Filed by Officers, Directors, and Security Holders (§§ 249.103 - 249.105)
SUBPART C — Forms for Applications for Registration of Securities on National Securities Exchanges and Similar Matters (§§ 249.208 - 249.250)
SUBPART D — Forms for Annual and Other Reports of Issuers Required Under Sections 13 and 15(d) of the Securities Exchange Act of 1934 (§§ 249.306 - 249.447)
SUBPART E — Forms for Statements Made in Connection With Exempt Tender Offers (§§ 249.480 - 249.480)
SUBPART F — Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter Markets (§§ 249.501 - 249.510)
SUBPART G — Forms for Reports To Be Made by Certain Exchange Members, Brokers, and Dealers (§§ 249.617 - 249.638)
SUBPART H — Forms For Reports as to Stabilization (§§ 249.709 - 249.709)
SUBPART I — Forms for Self-Regulatory Organization Rule Changes and Forms for Registration of and Reporting by National Securities Associations and Affiliated Securities Associations (§§ 249.801 - 249.822)
SUBPART J — [Reserved]
SUBPART K — Form for Registration of, and Reporting by Securities Information Processors (§§ 249.1001 - 249.1001)
SUBPART L — Forms for Registration of Municipal Securities Dealers (§§ 249.1100 - 249.1110)
SUBPART M — Forms for Reporting and Inquiry With Respect to Missing, Lost, Stolen, or Counterfeit Securities (§§ 249.1200 - 249.1200)
SUBPART O — Forms for Securitizers of Asset-Backed Securities (§§ 249.1400 - 249.1400)
SUBPART S — Whistleblower Forms (§§ 249.1800 - 249.1801)

Authority:

15 U.S.C. 78a et seq. and 7201 et seq.; and 18 U.S.C. 1350, unless otherwise noted.

Section 249.220f is also issued under secs. 3(a), 202, 208, 302, 306(a), 401(a), 401(b), 406 and 407, Pub. L. No. 107-204, 116 Stat. 745.

Section 249.240f is also issued under secs. 3(a), 202, 208, 302, 306(a), 401(a), 406 and 407, Pub. L. No. 107-204, 116 Stat. 745.

Section 249.308 is also issued under 15 U.S.C. 80a-29 and 80a-37.

Section 249.308a is also issued under secs. 3(a) and 302, Pub. L. No. 107-204, 116 Stat. 745.

Section 249.308b is also issued under secs. 3(a) and 302, Pub. L. No. 107-204, 116 Stat. 745.

Section 249.310 is also issued under secs. 3(a), 202, 208, 302, 406 and 407, Pub. L. No. 107-204, 116 Stat. 745.

Section 249.326(T) also issued under section 13(f)(1) (15 U.S.C. 78m(f)(1)).

Section 249.330 is also issued under secs. 3(a), 406, and 407, Pub. L. No. 107-204, 116 Stat. 745.

Section 249.331 is also issued under 15 U.S.C. 78j-1, 7202, 7233, 7241, 7264, 7265; and 18 U.S.C. 1350.

Section 249.1400 is also issued under sec. 943, Pub. L. 111-203, 124 Stat. 1376.

Section 249.1800 is also issued under Public Law 111.203, § 922(a), 124 Stat 1841 (2010).

Section 249.1801 is also issued under Public Law 111.203, § 922(a), 124 Stat 1841 (2010).

Editorial Note:

Nomenclature changes to part 249 appear at 57 FR 36501, Aug. 13, 1992, and 57 FR 47409, Oct. 16, 1992.

Title 17 published on 2012-04-01

The following are only the Rules published in the Federal Register after the published date of Title 17.

For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.

2012-11-23; vol. 77 # 226 - Friday, November 23, 2012

77 FR 70116 - Disclosure of Payments by Resource Extraction Issuers

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2012-28455
RIN	3235-AK85
File No.	S7-42-10
Release No.	34-67717A

SECURITIES AND EXCHANGE COMMISSION

Final rule; correction.

Effective Date: November 23, 2012.

17 CFR Parts 240 and 249

Summary

This release makes a technical correction to Release No. 34-67717 (August 22, 2012), which adopted disclosure rules for resource extraction issuers and was published in the Federal Register on September 12, 2012 (77 FR 56365). We are correcting the release to include the text of a footnote that was omitted when published.

2012-09-26; vol. 77 # 187 - Wednesday, September 26, 2012

77 FR 59061 - Extension of Temporary Registration of Municipal Advisors

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2012-23688
RIN	3235-AK69
File No.	S7-19-10
Release No.	34-67901

SECURITIES AND EXCHANGE COMMISSION

Final rule; extension.

Effective Date: September 30, 2012. The expiration of the effective period of interim final temporary Rule 15Ba2-6T (17 CFR 240.15Ba2-6T) and Form MA-T (17 CFR 249.1300T) is delayed from September 30, 2012, to September 30, 2013.

17 CFR Parts 240 and 249

Summary

The Securities and Exchange Commission (“Commission”) is amending interim final temporary Rule 15Ba2-6T, which provides for the temporary registration of municipal advisors under the Securities Exchange Act of 1934 (“Exchange Act”), as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), to extend the date on which Rule 15Ba2-6T (and consequently Form MA-T) will sunset from September 30, 2012, to September 30, 2013. Under the amendment, all temporary registrations submitted pursuant to Rule 15Ba2-6T also will expire no later than September 30, 2013.

2012-09-12; vol. 77 # 177 - Wednesday, September 12, 2012

77 FR 56274 - Conflict Minerals

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2012-21153
RIN	3235-AK84
Release No.	34-67716
File No.	S7-40-10

SECURITIES AND EXCHANGE COMMISSION

Final rule.

Effective Date: November 13, 2012. Compliance Date: Issuers must comply with the final rule for the calendar year beginning January 1, 2013 with the first reports due May 31, 2014.

17 CFR Parts 240 and 249b

Summary

We are adopting a new form and rule pursuant to Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act relating to the use of conflict minerals. Section 1502 added Section 13(p) to the Securities Exchange Act of 1934, which requires the Commission to promulgate rules requiring issuers with conflict minerals that are necessary to the functionality or production of a product manufactured by such person to disclose annually whether any of those minerals originated in the Democratic Republic of the Congo or an adjoining country. If an issuer's conflict minerals originated in those countries, Section 13(p) requires the issuer to submit a report to the Commission that includes a description of the measures it took to exercise due diligence on the conflict minerals' source and chain of custody. The measures taken to exercise due diligence must include an independent private sector audit of the report that is conducted in accordance with standards established by the Comptroller General of the United States. Section 13(p) also requires the issuer submitting the report to identify the auditor and to certify the audit. In addition, Section 13(p) requires the report to include a description of the products manufactured or contracted to be manufactured that are not “DRC conflict free,” the facilities used to process the conflict minerals, the country of origin of the conflict minerals, and the efforts to determine the mine or location of origin. Section 13(p) requires the information disclosed by the issuer to be available to the public on its Internet Web site.

77 FR 56365 - Disclosure of Payments by Resource Extraction Issuers

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2012-21155
RIN	3235-AK85
Release No.	34-67717
File No.	S7-42-10

SECURITIES AND EXCHANGE COMMISSION

Final rule.

Effective date: November 13, 2012. Compliance date: A resource extraction issuer must comply with the new rules and form for fiscal years ending after September 30, 2013. For the first report filed for fiscal years ending after September 30, 2013, a resource extraction issuer may provide a partial year report if the issuer's fiscal year began before September 30, 2013. The issuer will be required to provide a report for the period beginning October 1, 2013 through the end of its fiscal year. For any fiscal year beginning on or after September 30, 2013, a resource extraction issuer will be required to file a report disclosing payments for the full fiscal year.

17 CFR Parts 240 and 249

Summary

We are adopting new rules and an amendment to a new form pursuant to Section 1504 of the Dodd-Frank Wall Street Reform and Consumer Protection Act relating to disclosure of payments by resource extraction issuers. Section 1504 added Section 13(q) to the Securities Exchange Act of 1934, which requires the Commission to issue rules requiring resource extraction issuers to include in an annual report information relating to any payment made by the issuer, a subsidiary of the issuer, or an entity under the control of the issuer, to a foreign government or the Federal Government for the purpose of the commercial development of oil, natural gas, or minerals. Section 13(q) requires a resource extraction issuer to provide information about the type and total amount of such payments made for each project related to the commercial development of oil, natural gas, or minerals, and the type and total amount of payments made to each government. In addition, Section 13(q) requires a resource extraction issuer to provide information regarding those payments in an interactive data format.

2012-07-25; vol. 77 # 143 - Wednesday, July 25, 2012

77 FR 43487 - Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations; Correction

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2012-17985
RIN	3235-AK87
File No.	S7-44-10
Release No.	34-67286A

SECURITIES AND EXCHANGE COMMISSION

Final rule; correction; clarification.

Effective on August 13, 2012.

17 CFR Parts 240 and 249

Summary

On July 13, 2012, the Securities and Exchange Commission (“Commission”) published a document in the Federal Register (77 FR 41602), concerning, among other things, the process for submissions for review of security-based swaps for mandatory clearing and notice filing requirements for clearing agencies. The document contained typographical errors in the preamble and in the general authority for Part 240. The Commission is publishing corrections to the preamble and the general authority as well as a clarification concerning the Office of Management and Budget (“OMB”) control number for Rule 3Ca-1 under the Securities Exchange Act of 1934 (“Exchange Act”).

2012-07-18; vol. 77 # 138 - Wednesday, July 18, 2012

77 FR 42176 - Technical Amendment to Rules for the Temporary Registration of Municipal Advisors

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2012-17411
RIN	3235-AK69
Release No.	34-66020A
File No.	S7-19-10

SECURITIES AND EXCHANGE COMMISSION

Final rule; technical amendment.

Effective Date: July 18, 2012.

17 CFR Part 249

Summary

The Securities and Exchange Commission (“Commission”) is making a technical amendment to rules under the Securities Exchange Act of 1934 (“Exchange Act”) to correct an inadvertent error. On December 21, 2011, the Commission extended the expiration date for the temporary municipal advisor registration regime to September 30, 2012. In the release extending the expiration date, the Commission inadvertently omitted a reference to Subpart N, which resulted in the deletion of Subpart N from the Code of Federal Regulations. With this technical amendment, the Commission is correcting the omission and adding back Subpart N to the Code of Federal Regulations.

2012-07-13; vol. 77 # 135 - Friday, July 13, 2012

77 FR 41602 - Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2012-16233
RIN	3235-AK87
Release No.	34-67286
File No.	S7-44-10

SECURITIES AND EXCHANGE COMMISSION

Final rule.

Effective Dates: August 13, 2012 for §§ 240.3Ca-1, 240.3Ca-2, and the amendments to 240.19b-4; December 10, 2012 for all amendments to § 249.819 and Form 19b-4. Compliance Dates: August 13, 2012 for §§ 240.3Ca-1, 240.3Ca-2, and the amendments to § 240.19b-4, except for the compliance date for § 240.19b-4(o), which is discussed in the section of the release titled “II.G. Effective and Compliance Dates”; December 10, 2012 for all amendments to § 249.819 and Form 19b-4.

17 CFR Parts 240 and 249

Summary

In accordance with Section 763(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”), the Securities and Exchange Commission (“Commission”) is adopting rules under the Securities Exchange Act of 1934 (“Exchange Act”) to specify the process for a registered clearing agency's submission for review of any security-based swap, or any group, category, type or class of security-based swaps, that the clearing agency plans to accept for clearing, the manner of notice the clearing agency must provide to its members of such submission and the procedure by which the Commission may stay the requirement that a security-based swap is subject to mandatory clearing while the clearing of the security-based swap is reviewed. The Commission also is adopting a rule to specify that when a security-based swap is required to be cleared, the submission of the security-based swap for clearing must be for central clearing to a clearing agency that functions as a central counterparty. In addition, the Commission is adopting rules to define and describe when notices of proposed changes to rules, procedures or operations are required to be filed by designated financial market utilities in accordance with Section 806(e) of Title VIII of the Dodd-Frank Act and to set forth the process for filing such notices with the Commission. Finally, the Commission is adopting rules to make conforming changes as required by the amendments to Section 19(b) of the Exchange Act contained in Section 916 of the Dodd-Frank Act.

This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.

This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].

It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.

United States Code

USC : Title 15 - COMMERCE AND TRADE

§ 78a - Short title

§ 78b - Necessity for regulation

§ 78c - Definitions and application

15 USC § 78c–1 - Swap agreements

15 USC § 78c–2 - Securities-related derivatives

15 USC § 78c–3 - Clearing for security-based swaps

15 USC § 78c–4 - Security-based swap execution facilities

15 USC § 78c–5 - Segregation of assets held as collateral in security-based swap transactions

§ 78d - Securities and Exchange Commission

15 USC § 78d–1 - Delegation of functions by Commission

15 USC § 78d–2 - Transfer of functions with respect to assignment of personnel to chairman

15 USC § 78d–3 - Appearance and practice before the Commission

15 USC § 78d–4 - Additional duties of Inspector General

15 USC § 78d–5 - Deadline for completing enforcement investigations and compliance examinations and inspections

15 USC § 78d–6 - Report and certification of internal supervisory controls

15 USC § 78d–7 - Triennial report on personnel management

15 USC § 78d–8 - Annual financial controls audit

15 USC § 78d–9 - Report on oversight of national securities associations

§ 78e - Transactions on unregistered exchanges

§ 78f - National securities exchanges

§ 78g - Margin requirements

§ 78h - Restrictions on borrowing and lending by members, brokers, and dealers

§ 78i - Manipulation of security prices

§ 78j - Manipulative and deceptive devices

15 USC § 78j–1 - Audit requirements

15 USC § 78j–2 - Position limits and position accountability for security-based swaps and large trader reporting

15 USC § 78j–3 - Compensation committees

15 USC § 78j–4 - Recovery of erroneously awarded compensation policy

§ 78k - Trading by members of exchanges, brokers, and dealers

15 USC § 78k–1 - National market system for securities; securities information processors

15 USC § -

§ 78m - Periodical and other reports

15 USC § 78m–1 - Reporting and recordkeeping for certain security-based swaps

15 USC § 78m–2 - Reporting requirements regarding coal or other mine safety

§ 78n - Proxies

15 USC § 78n–1 - Shareholder approval of executive compensation

15 USC § 78n–2 - Corporate governance

15 USC § -

15 U.S.C. § -

15 USC § -

§ 78p - Directors, officers, and principal stockholders

§ 78q - Records and reports

15 USC § 78q–1 - National system for clearance and settlement of securities transactions

15 USC § 78q–2 - Automated quotation systems for penny stocks

§ 78r - Liability for misleading statements

§ 78s - Registration, responsibilities, and oversight of self-regulatory organizations

§ 78t - Liability of controlling persons and persons who aid and abet violations

15 USC § 78t–1 - Liability to contemporaneous traders for insider trading

§ 78u - Investigations and actions

15 USC § 78u–1 - Civil penalties for insider trading

15 USC § 78u–2 - Civil remedies in administrative proceedings

15 USC § 78u–3 - Cease-and-desist proceedings

15 USC § 78u–4 - Private securities litigation

15 USC § 78u–5 - Application of safe harbor for forward-looking statements

15 USC § 78u–6 - Securities whistleblower incentives and protection

15 USC § 78u–7 - Implementation and transition provisions for whistleblower protection

§ 78v - Hearings by Commission

§ 78w - Rules, regulations, and orders; annual reports

§ 78x - Public availability of information

§ 78y - Court review of orders and rules

§ 78z - Unlawful representations

§ 78aa - Jurisdiction of offenses and suits

15 USC § 78aa–1 - Special provision relating to statute of limitations on private causes of action

§ 78bb - Effect on existing law

§ 78cc - Validity of contracts

§ 78dd - Foreign securities exchanges

15 USC § 78dd–1 - Prohibited foreign trade practices by issuers

15 USC § 78dd–2 - Prohibited foreign trade practices by domestic concerns

15 USC § 78dd–3 - Prohibited foreign trade practices by persons other than issuers or domestic concerns

§ 78ee - Transaction fees

§ 78ff - Penalties

§ 78gg - Separability

§ 78hh - Effective date

15 USC § 78hh–1 - Effective date of certain sections

§ 78ii - Omitted

§ 78jj - Repealed.

§ 78kk - Authorization of appropriations

15 USC § -

§ 78mm - General exemptive authority

§ 78nn - Tennessee Valley Authority

15 USC § -

§ 78pp - Investor Advisory Committee

§ 7201 - Definitions

§ 7202 - Commission rules and enforcement

§ 7233 - Commission authority

§ 7241 - Corporate responsibility for financial reports

§ 7264 - Code of ethics for senior financial officers

§ 7265 - Disclosure of audit committee financial expert

USC : Title 18 - CRIMES AND CRIMINAL PROCEDURE

§ 1350 - Failure of corporate officers to certify financial reports

Statutes at Large

116 Stat. 745

Title 17 published on 2012-04-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 249 after this date.

2012-11-23; vol. 77 # 226 - Friday, November 23, 2012

77 FR 70116 - Disclosure of Payments by Resource Extraction Issuers

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2012-28455
RIN	3235-AK85
File No.	S7-42-10
Release No.	34-67717A

SECURITIES AND EXCHANGE COMMISSION

Final rule; correction.

Effective Date: November 23, 2012.

17 CFR Parts 240 and 249

Summary

This release makes a technical correction to Release No. 34-67717 (August 22, 2012), which adopted disclosure rules for resource extraction issuers and was published in the Federal Register on September 12, 2012 (77 FR 56365). We are correcting the release to include the text of a footnote that was omitted when published.

2012-09-26; vol. 77 # 187 - Wednesday, September 26, 2012

77 FR 59061 - Extension of Temporary Registration of Municipal Advisors

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2012-23688
RIN	3235-AK69
File No.	S7-19-10
Release No.	34-67901

SECURITIES AND EXCHANGE COMMISSION

Final rule; extension.

Effective Date: September 30, 2012. The expiration of the effective period of interim final temporary Rule 15Ba2-6T (17 CFR 240.15Ba2-6T) and Form MA-T (17 CFR 249.1300T) is delayed from September 30, 2012, to September 30, 2013.

17 CFR Parts 240 and 249

Summary

The Securities and Exchange Commission (“Commission”) is amending interim final temporary Rule 15Ba2-6T, which provides for the temporary registration of municipal advisors under the Securities Exchange Act of 1934 (“Exchange Act”), as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), to extend the date on which Rule 15Ba2-6T (and consequently Form MA-T) will sunset from September 30, 2012, to September 30, 2013. Under the amendment, all temporary registrations submitted pursuant to Rule 15Ba2-6T also will expire no later than September 30, 2013.

2012-09-12; vol. 77 # 177 - Wednesday, September 12, 2012

77 FR 56274 - Conflict Minerals

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2012-21153
RIN	3235-AK84
Release No.	34-67716
File No.	S7-40-10

SECURITIES AND EXCHANGE COMMISSION

Final rule.

Effective Date: November 13, 2012. Compliance Date: Issuers must comply with the final rule for the calendar year beginning January 1, 2013 with the first reports due May 31, 2014.

17 CFR Parts 240 and 249b

Summary

We are adopting a new form and rule pursuant to Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act relating to the use of conflict minerals. Section 1502 added Section 13(p) to the Securities Exchange Act of 1934, which requires the Commission to promulgate rules requiring issuers with conflict minerals that are necessary to the functionality or production of a product manufactured by such person to disclose annually whether any of those minerals originated in the Democratic Republic of the Congo or an adjoining country. If an issuer's conflict minerals originated in those countries, Section 13(p) requires the issuer to submit a report to the Commission that includes a description of the measures it took to exercise due diligence on the conflict minerals' source and chain of custody. The measures taken to exercise due diligence must include an independent private sector audit of the report that is conducted in accordance with standards established by the Comptroller General of the United States. Section 13(p) also requires the issuer submitting the report to identify the auditor and to certify the audit. In addition, Section 13(p) requires the report to include a description of the products manufactured or contracted to be manufactured that are not “DRC conflict free,” the facilities used to process the conflict minerals, the country of origin of the conflict minerals, and the efforts to determine the mine or location of origin. Section 13(p) requires the information disclosed by the issuer to be available to the public on its Internet Web site.

77 FR 56365 - Disclosure of Payments by Resource Extraction Issuers

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2012-21155
RIN	3235-AK85
Release No.	34-67717
File No.	S7-42-10

SECURITIES AND EXCHANGE COMMISSION

Final rule.

Effective date: November 13, 2012. Compliance date: A resource extraction issuer must comply with the new rules and form for fiscal years ending after September 30, 2013. For the first report filed for fiscal years ending after September 30, 2013, a resource extraction issuer may provide a partial year report if the issuer's fiscal year began before September 30, 2013. The issuer will be required to provide a report for the period beginning October 1, 2013 through the end of its fiscal year. For any fiscal year beginning on or after September 30, 2013, a resource extraction issuer will be required to file a report disclosing payments for the full fiscal year.

17 CFR Parts 240 and 249

Summary

We are adopting new rules and an amendment to a new form pursuant to Section 1504 of the Dodd-Frank Wall Street Reform and Consumer Protection Act relating to disclosure of payments by resource extraction issuers. Section 1504 added Section 13(q) to the Securities Exchange Act of 1934, which requires the Commission to issue rules requiring resource extraction issuers to include in an annual report information relating to any payment made by the issuer, a subsidiary of the issuer, or an entity under the control of the issuer, to a foreign government or the Federal Government for the purpose of the commercial development of oil, natural gas, or minerals. Section 13(q) requires a resource extraction issuer to provide information about the type and total amount of such payments made for each project related to the commercial development of oil, natural gas, or minerals, and the type and total amount of payments made to each government. In addition, Section 13(q) requires a resource extraction issuer to provide information regarding those payments in an interactive data format.

2012-07-25; vol. 77 # 143 - Wednesday, July 25, 2012

77 FR 43487 - Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations; Correction

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2012-17985
RIN	3235-AK87
File No.	S7-44-10
Release No.	34-67286A

SECURITIES AND EXCHANGE COMMISSION

Final rule; correction; clarification.

Effective on August 13, 2012.

17 CFR Parts 240 and 249

Summary

On July 13, 2012, the Securities and Exchange Commission (“Commission”) published a document in the Federal Register (77 FR 41602), concerning, among other things, the process for submissions for review of security-based swaps for mandatory clearing and notice filing requirements for clearing agencies. The document contained typographical errors in the preamble and in the general authority for Part 240. The Commission is publishing corrections to the preamble and the general authority as well as a clarification concerning the Office of Management and Budget (“OMB”) control number for Rule 3Ca-1 under the Securities Exchange Act of 1934 (“Exchange Act”).

2012-07-18; vol. 77 # 138 - Wednesday, July 18, 2012

77 FR 42176 - Technical Amendment to Rules for the Temporary Registration of Municipal Advisors

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2012-17411
RIN	3235-AK69
Release No.	34-66020A
File No.	S7-19-10

SECURITIES AND EXCHANGE COMMISSION

Final rule; technical amendment.

Effective Date: July 18, 2012.

17 CFR Part 249

Summary

The Securities and Exchange Commission (“Commission”) is making a technical amendment to rules under the Securities Exchange Act of 1934 (“Exchange Act”) to correct an inadvertent error. On December 21, 2011, the Commission extended the expiration date for the temporary municipal advisor registration regime to September 30, 2012. In the release extending the expiration date, the Commission inadvertently omitted a reference to Subpart N, which resulted in the deletion of Subpart N from the Code of Federal Regulations. With this technical amendment, the Commission is correcting the omission and adding back Subpart N to the Code of Federal Regulations.

2012-07-13; vol. 77 # 135 - Friday, July 13, 2012

77 FR 41602 - Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2012-16233
RIN	3235-AK87
Release No.	34-67286
File No.	S7-44-10

SECURITIES AND EXCHANGE COMMISSION

Final rule.

Effective Dates: August 13, 2012 for §§ 240.3Ca-1, 240.3Ca-2, and the amendments to 240.19b-4; December 10, 2012 for all amendments to § 249.819 and Form 19b-4. Compliance Dates: August 13, 2012 for §§ 240.3Ca-1, 240.3Ca-2, and the amendments to § 240.19b-4, except for the compliance date for § 240.19b-4(o), which is discussed in the section of the release titled “II.G. Effective and Compliance Dates”; December 10, 2012 for all amendments to § 249.819 and Form 19b-4.

17 CFR Parts 240 and 249

Summary

In accordance with Section 763(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”), the Securities and Exchange Commission (“Commission”) is adopting rules under the Securities Exchange Act of 1934 (“Exchange Act”) to specify the process for a registered clearing agency's submission for review of any security-based swap, or any group, category, type or class of security-based swaps, that the clearing agency plans to accept for clearing, the manner of notice the clearing agency must provide to its members of such submission and the procedure by which the Commission may stay the requirement that a security-based swap is subject to mandatory clearing while the clearing of the security-based swap is reviewed. The Commission also is adopting a rule to specify that when a security-based swap is required to be cleared, the submission of the security-based swap for clearing must be for central clearing to a clearing agency that functions as a central counterparty. In addition, the Commission is adopting rules to define and describe when notices of proposed changes to rules, procedures or operations are required to be filed by designated financial market utilities in accordance with Section 806(e) of Title VIII of the Dodd-Frank Act and to set forth the process for filing such notices with the Commission. Finally, the Commission is adopting rules to make conforming changes as required by the amendments to Section 19(b) of the Exchange Act contained in Section 916 of the Dodd-Frank Act.

17 CFR 249 - FORMS, SECURITIES EXCHANGE ACT OF 1934

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