Securities and Exchange Commission August 12, 2016 – Federal Register Recent Federal Regulation Documents

Submission for OMB Review; Comment Request
Document Number: 2016-19208
Type: Notice
Date: 2016-08-12
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2016-19207
Type: Notice
Date: 2016-08-12
Agency: Securities and Exchange Commission, Agencies and Commissions
Blackrock Funds, et al.; Notice of Application
Document Number: 2016-19184
Type: Notice
Date: 2016-08-12
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2016-19183
Type: Notice
Date: 2016-08-12
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2016-19182
Type: Notice
Date: 2016-08-12
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2016-19181
Type: Notice
Date: 2016-08-12
Agency: Securities and Exchange Commission, Agencies and Commissions
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Document Number: 2016-17032
Type: Rule
Date: 2016-08-12
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``SEC'' or ``Commission'') is adopting certain amendments to Regulation SBSR Reporting and Dissemination of Security-Based Swap Information (``Regulation SBSR''). Specifically, new Rule 901(a)(1) of Regulation SBSR requires a platform (i.e., a national securities exchange or security-based swap execution facility (``SB SEF'') that is registered with the Commission or exempt from registration) to report a security- based swap executed on such platform that will be submitted to clearing. New Rule 901(a)(2)(i) of Regulation SBSR requires a registered clearing agency to report any security-based swap to which it is a counterparty. The Commission is adopting certain conforming amendments to other provisions of Regulation SBSR in light of the newly adopted amendments to Rule 901(a), and an amendment that would require registered security-based swap data repositories (``SDRs'') to provide the security-based swap transaction data that they are required to publicly disseminate to the users of the information on a non-fee basis. The Commission also is adopting amendments to Rule 908(a) to extend Regulation SBSR's regulatory reporting and public dissemination requirements to additional types of cross-border security-based swaps. The Commission is offering guidance regarding the application of Regulation SBSR to prime brokerage transactions and to the allocation of cleared security-based swaps. Finally, the Commission is adopting a new compliance schedule for the portions of Regulation SBSR for which the Commission has not previously specified compliance dates.