Securities and Exchange Commission October 24, 2011 – Federal Register Recent Federal Regulation Documents

Section 764(a) of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act'') requires the Securities and Exchange Commission (``Commission'') to issue rules to provide for the registration of security-based swap dealers (``SBS Dealers'') and major security-based swap participants (collectively, ``SBS Entities''). Pursuant to this requirement, the Commission is proposing new Rules 15Fb1-1 through 15Fb6-1 under the Securities Exchange Act of 1934, as amended (the ``Exchange Act''), to provide for the registration of SBS Entities. The Commission is also proposing forms to facilitate registration (and withdrawal from registration) of these entities.