Proposed Rule - Reopened for Comments

Position Reporting of Large Security-Based Swap Positions

Overview

The Securities and Exchange Commission (“SEC” or “Commission”) is reopening the comment period for its proposal, Position Reporting of Large Security-Based Swap Positions, Release No. 34-93784, (Dec. 15, 2021) (“Proposing Release”). In the Proposing Release, the Commission proposed for comment a new rule, which would require any person with a security‑based swap position that exceeds a certain threshold to promptly file with the Commission a schedule disclosing certain information related to its security-based swap position (“Proposed Rule”). The Commission is reopening the comment period to allow interested persons an opportunity to comment on the additional analysis and data contained in a staff memorandum that was added to the public comment file on June 20, 2023, including providing comment on questions identified below.

Title
Prohibition Against Fraud, Manipulation, or Deception in Connection With Security-Based Swaps; Prohibition Against Undue Influence Over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions
Release Number
34-93784
SEC Issue Date
Federal Register Publish Date
Document Citation

87 FR 6652

RIN
3235-AK77

Title
Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act
Release Number
34-69491
SEC Issue Date
Federal Register Publish Date
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

Last Reviewed or Updated: Feb. 27, 2024

Details

Public Comments Due

Comments should be received on or before 30 days after publication in the Federal Register or August 21, 2023, (which is 60 days after date of issuance), whichever is later

File Number
S7-32-10
Rule Type
Proposed
Release Number
34-97762
SEC Issue Date
Federal Register Publish Date