Final Rule

Extension of Dates for Certain Requirements and Amendment of Form 19b-4

Overview

The Commission is amending its regulations under the Securities Exchange Act of 1934 ("Exchange Act') to extend the dates for certain requirements therein and amending the General Instructions to Form 19b-4 to clarify the process for submitting advance notices and security-based swap submissions to the Commission. The Commission is extending the dates with respect to the requirements that designated clearing agencies for which the Commission is the supervisory agency file advance notices and clearing agencies file security-based swap submissions with the Commission in an electronic format to dedicated email addresses to December 10, 2013 in order to prevent the scenario that such filings are required to be filed with the Commission through a system that is not yet technologically able to accept them.

Prior Actions

Title
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

Last Reviewed or Updated: April 7, 2023

Details

File Number
S7-44-10
Rule Type
Final
Release Number
34-67286
SEC Issue Date
Effective Date

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 Date

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

Federal Register Publish Date
Document Citation

77 FR 41601

RIN
3235-AK87