Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers, 4365-4366 [2013-01053]

Download as PDF Federal Register / Vol. 78, No. 14 / Tuesday, January 22, 2013 / Proposed Rules BILLING CODE 4910–13–C SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 240 [Release No. 34–68660; File No. S7–08–12] RIN 3235–AL12 tkelley on DSK3SPTVN1PROD with Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major SecurityBased Swap Participants and Capital Requirements for Broker-Dealers Securities and Exchange Commission. ACTION: Proposed rule; extension of comment period. AGENCY: VerDate Mar<15>2010 17:29 Jan 18, 2013 Jkt 229001 PO 00000 Frm 00019 Fmt 4702 Sfmt 4702 On November 23, 2012, the Securities and Exchange Commission (‘‘Commission’’) published in the Federal Register a proposed rule for public comment to establish capital, margin, and segregation requirements for security-based swap dealers and major security-based swap participants under the Securities Exchange Act of 1934 (‘‘Exchange Act’’) and amend capital requirements for broker-dealers. The Commission is extending the time period in which to provide the Commission with comments. SUMMARY: Comments should be received on or before February 22, 2013. DATES: E:\FR\FM\22JAP1.SGM 22JAP1 EP22JA13.001</GPH> [FR Doc. 2013–01118 Filed 1–18–13; 8:45 am] 4365 4366 Federal Register / Vol. 78, No. 14 / Tuesday, January 22, 2013 / Proposed Rules Comments may be submitted by any of the following methods: ADDRESSES: Electronic Comments • Use the Commission’s Internet comment form (http://www.sec.gov/ rules/proposed.shtml); • Send an email to rulecomments@sec.gov. Please include File Number S7–08–12 on the subject line; or • Use the Federal eRulemaking Portal (http://www.regulations.gov). Follow the instructions for submitting comments. tkelley on DSK3SPTVN1PROD with Paper Comments • Send paper comments in triplicate to Elizabeth M. Murphy, Secretary, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549–1090. All submissions should refer to File Number S7–08–12. This file number should be included on the subject line if email is used. To help us process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission’s Internet web site (http://www.sec.gov/rules/proposed). Comments will also be available for Web site viewing and printing in the Commission’s Public Reference Room, 100 F Street NE., Washington, DC 20549 on official business days between the hours of 10:00 a.m. and 3:00 p.m. All comments received will be posted without change; we do not edit personal identifying information from submissions. You should submit only information you wish to make available publicly. FOR FURTHER INFORMATION CONTACT: Michael A. Macchiaroli, Associate Director, at (202) 551–5525; Thomas K. McGowan, Deputy Associate Director, at (202) 551–5521; Randall W. Roy, Assistant Director, at (202) 551–5522; Mark M. Attar, Branch Chief, at (202) 551–5889; Sheila Dombal Swartz, Special Counsel, at (202) 551–5545; Valentina M. Deng, Attorney, at (202) 551–5778; or Teen I. Sheng, Attorney, at 202–551–5511, Division of Trading and Markets, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549–7010. SUPPLEMENTARY INFORMATION: On November 23, 2012, the Commission issued Release No. 34–68071 soliciting comment on proposed rules and rule amendments establishing capital, margin, and segregation requirements for persons who register with the Commission as security-based swap dealers or major security-based swap participants and amending capital VerDate Mar<15>2010 17:29 Jan 18, 2013 Jkt 229001 requirements for broker-dealers.1 The Commission originally requested that comments on this proposal be received by January 22, 2013. The Commission has recently been requested to extend the comment period and believes that extending the comment period is appropriate in order to give the public additional time to comment on the matters addressed by the release.2 This extension will allow for 91 days of comment which the Commission believes should provide the public with sufficient additional time to consider thoroughly the matters addressed by the release and to submit comprehensive responses to the release which would benefit the Commission in its consideration of the final rules. Therefore, the Commission is extending the public comment period for 31 days until Friday, February 22, 2013. Dated: January 15, 2013. By the Commission. Elizabeth M. Murphy, Secretary. however, please note that comments sent by electronic mail are strongly encouraged. D Email comments to: reg.review@nigc.gov. D Mail comments to: Armando Acosta, National Indian Gaming Commission, 1441 L Street NW., Suite 9100, Washington, DC 20005. D Hand deliver comments to: 1441 L Street NW., Suite 9100, Washington, DC 20005. D Fax comments to: Armando Acosta, National Indian Gaming Commission, at (202) 632–0045. FOR FURTHER INFORMATION CONTACT: Armando Acosta, National Indian Gaming Commission, 1441 L Street NW., Suite 9100, Washington, DC 20005. Email: armando_acosta@nigc.gov; telephone: (202) 632–7003. SUPPLEMENTARY INFORMATION: I. Comments Invited [FR Doc. 2013–01053 Filed 1–18–13; 8:45 am] BILLING CODE 8011–01–P DEPARTMENT OF THE INTERIOR National Indian Gaming Commission Interested parties are invited to participate in this proposed rulemaking by submitting such written data, views, or arguments as they may desire. Comments that provide the factual basis supporting the views and suggestions presented are particularly helpful in developing reasoned regulatory decisions on the proposed rules. 25 CFR Parts 581, 584, and 585 II. Background Appeal Proceedings Before the Commission The Indian Gaming Regulatory Act (IGRA or Act), Public Law 100–497, 25 U.S.C. 2701 et seq., was signed into law on October 17, 1988. The Act established the Commission and set out a comprehensive framework for the regulation of gaming on Indian lands. The Act requires that the Commission, by regulation, provide an opportunity for an appeal and a hearing before the Commission on fines levied by the Chair against the tribal operator of an Indian game or a management contractor, and to determine whether a temporary closure order issued by the Chair should be made permanent or dissolved. 25 U.S.C. 2713(a)(2), 2713(b). By regulation, the Commission has also provided rights to tribes and/or management contractors to appeal ordinance disapprovals, management contract approvals or disapprovals, enforcement actions, and actions to void an approved management contract. The appellate procedures for these actions are all consolidated in this subchapter. On September 21, 2012, the Commission published two final rules amending 25 CFR parts 543 and 547. In its final rule for part 543, the Commission provided tribal gaming regulatory authorities (TGRA) with National Indian Gaming Commission. ACTION: Notice of proposed rulemaking. AGENCY: The National Indian Gaming Commission (NIGC or Commission) proposes to revise its appeals rules to include, amongst the appealable actions, the Chair’s decisions to approve or object to a tribal gaming regulatory authority’s adoption of alternate standards from those required by the Commission’s minimum internal control standards and/or technical standards. DATES: The agency must receive comments on or before February 6, 2013. ADDRESSES: You may submit comments by any one of the following methods, SUMMARY: 1 See Exchange Act Release No. 68071 (Oct. 18, 2012), 77 FR 70213 (Nov. 23, 2012). 2 See Letter from Kenneth E. Bentson, Jr., Public Policy and Advocacy Executive Vice President, SIFMA, to Elizabeth M. Murphy, Secretary, Commission, dated Jan. 3, 2013; see also Letter from Richard M. Whiting, Executive Director and General Counsel, Financial Services Roundtable, to Elizabeth M. Murphy, Secretary, Commission, dated Jan. 2, 2013. PO 00000 Frm 00020 Fmt 4702 Sfmt 4702 E:\FR\FM\22JAP1.SGM 22JAP1

Agencies

[Federal Register Volume 78, Number 14 (Tuesday, January 22, 2013)]
[Proposed Rules]
[Pages 4365-4366]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-01053]


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SECURITIES AND EXCHANGE COMMISSION

17 CFR Part 240

[Release No. 34-68660; File No. S7-08-12]
RIN 3235-AL12


Capital, Margin, and Segregation Requirements for Security-Based 
Swap Dealers and Major Security-Based Swap Participants and Capital 
Requirements for Broker-Dealers

AGENCY: Securities and Exchange Commission.

ACTION: Proposed rule; extension of comment period.

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SUMMARY: On November 23, 2012, the Securities and Exchange Commission 
(``Commission'') published in the Federal Register a proposed rule for 
public comment to establish capital, margin, and segregation 
requirements for security-based swap dealers and major security-based 
swap participants under the Securities Exchange Act of 1934 (``Exchange 
Act'') and amend capital requirements for broker-dealers. The 
Commission is extending the time period in which to provide the 
Commission with comments.

DATES: Comments should be received on or before February 22, 2013.

[[Page 4366]]


ADDRESSES: Comments may be submitted by any of the following methods:

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/proposed.shtml);
     Send an email to rule-comments@sec.gov. Please include 
File Number S7-08-12 on the subject line; or
     Use the Federal eRulemaking Portal (http://www.regulations.gov). Follow the instructions for submitting comments.

Paper Comments

     Send paper comments in triplicate to Elizabeth M. Murphy, 
Secretary, Securities and Exchange Commission, 100 F Street NE., 
Washington, DC 20549-1090.
All submissions should refer to File Number S7-08-12. This file number 
should be included on the subject line if email is used. To help us 
process and review your comments more efficiently, please use only one 
method. The Commission will post all comments on the Commission's 
Internet web site (http://www.sec.gov/rules/proposed). Comments will 
also be available for Web site viewing and printing in the Commission's 
Public Reference Room, 100 F Street NE., Washington, DC 20549 on 
official business days between the hours of 10:00 a.m. and 3:00 p.m. 
All comments received will be posted without change; we do not edit 
personal identifying information from submissions. You should submit 
only information you wish to make available publicly.

FOR FURTHER INFORMATION CONTACT: Michael A. Macchiaroli, Associate 
Director, at (202) 551-5525; Thomas K. McGowan, Deputy Associate 
Director, at (202) 551-5521; Randall W. Roy, Assistant Director, at 
(202) 551-5522; Mark M. Attar, Branch Chief, at (202) 551-5889; Sheila 
Dombal Swartz, Special Counsel, at (202) 551-5545; Valentina M. Deng, 
Attorney, at (202) 551-5778; or Teen I. Sheng, Attorney, at 202-551-
5511, Division of Trading and Markets, Securities and Exchange 
Commission, 100 F Street NE., Washington, DC 20549-7010.

SUPPLEMENTARY INFORMATION: On November 23, 2012, the Commission issued 
Release No. 34-68071 soliciting comment on proposed rules and rule 
amendments establishing capital, margin, and segregation requirements 
for persons who register with the Commission as security-based swap 
dealers or major security-based swap participants and amending capital 
requirements for broker-dealers.\1\ The Commission originally requested 
that comments on this proposal be received by January 22, 2013. The 
Commission has recently been requested to extend the comment period and 
believes that extending the comment period is appropriate in order to 
give the public additional time to comment on the matters addressed by 
the release.\2\ This extension will allow for 91 days of comment which 
the Commission believes should provide the public with sufficient 
additional time to consider thoroughly the matters addressed by the 
release and to submit comprehensive responses to the release which 
would benefit the Commission in its consideration of the final rules. 
Therefore, the Commission is extending the public comment period for 31 
days until Friday, February 22, 2013.
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    \1\ See Exchange Act Release No. 68071 (Oct. 18, 2012), 77 FR 
70213 (Nov. 23, 2012).
    \2\ See Letter from Kenneth E. Bentson, Jr., Public Policy and 
Advocacy Executive Vice President, SIFMA, to Elizabeth M. Murphy, 
Secretary, Commission, dated Jan. 3, 2013; see also Letter from 
Richard M. Whiting, Executive Director and General Counsel, 
Financial Services Roundtable, to Elizabeth M. Murphy, Secretary, 
Commission, dated Jan. 2, 2013.

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    Dated: January 15, 2013.

    By the Commission.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2013-01053 Filed 1-18-13; 8:45 am]
BILLING CODE 8011-01-P