Securities and Exchange Commission August 12, 2014 – Federal Register Recent Federal Regulation Documents

Application of “Security-Based Swap Dealer” and “Major Security-Based Swap Participant” Definitions to Cross-Border Security-Based Swap Activities; Republication
Document Number: R1-2014-15337
Type: Rule
Date: 2014-08-12
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``SEC'' or ``Commission'') is adopting rules and providing guidance to address the application of certain provisions of the Securities Exchange Act of 1934 (``Exchange Act'') that were added by Subtitle B of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd- Frank Act''), to cross-border security-based swap activities. These rules and guidance in large part focus on the application of the Title VII definitions of ``security-based swap dealer'' and ``major security- based swap participant'' in the cross-border context. The Commission also is adopting a procedural rule related to the submission of applications for substituted compliance. In addition, the Commission is adopting a rule addressing the scope of our authority, with respect to enforcement proceedings, under section 929P of the Dodd-Frank Act.
Sunshine Act Meeting
Document Number: 2014-19100
Type: Notice
Date: 2014-08-12
Agency: Securities and Exchange Commission, Agencies and Commissions
Citigroup Global Markets Inc., et al.; Notice of Application and Temporary Order
Document Number: 2014-18983
Type: Notice
Date: 2014-08-12
Agency: Securities and Exchange Commission, Agencies and Commissions