Outstanding proposed rulemaking on security-based swaps (SBS) and SBS market participants under Title VII of the Dodd-Frank Act.

Statement of General Policy on the Sequencing of the Compliance Dates for Final Rules Applicable to Security-Based Swaps (Policy Statement).

Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC (see Legal Updates, SEC Proposes Rules on Security-based Swap Facility Ownership and Governance under Dodd-Frank and SEC Re-opens Comment Period on Ownership and Voting Limits for Security-based Swap Exchanges and Clearinghouses).

Prohibition Against Fraud, Manipulation, and Deception in Connection with Security-Based Swaps (see Legal Update, SEC Proposes Security-based Swaps Antifraud Rule under Dodd-Frank).

Regulation SBSR – Reporting and Dissemination of Security-Based Swap Information (see Legal Update, SEC Proposes Rules on Security-based Swap Reporting and Data Repositories under the Dodd-Frank Act).

Security-Based Swap Data Repository Registration, Duties, and Core Principles (see Legal Update, SEC Proposes Rules on Security-based Swap Reporting and Data Repositories under the Dodd-Frank Act).

End-User Exception to Mandatory Clearing of Security-Based Swaps (see Legal Update, SEC Proposes Corollary End-user Exemption from Mandatory Swap Clearing under Dodd-Frank).

Trade Acknowledgement and Verification of Security-Based Swap Transactions (see Legal Update, SEC Proposes Dodd-Frank Rules for Timely Acknowledgment of Security-based Swap Dealer and Major Swap Participant Transactions).

Registration and Regulation of Security-Based Swap Execution Facilities (see Legal Update, SEC Proposes Dodd-Frank Rules for Security-based Swap Execution Facilities).

Clearing Agency Standards for Operation and Governance (see Legal Update, SEC Proposes Standards for Clearing Agency Operation and Governance).

Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants (see Legal Update, SEC Proposes Conduct Standards for Security-based Swap Dealers and Major Security-based Swap Participants under Dodd-Frank).

Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants (see Legal Update, SEC Proposes Rules for Registration of Security-based Swap Dealers and Major Security-based Swap Participants under Dodd-Frank).

Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers (see Legal Update, Capital and Margin Rules for Security-based Swap Dealers and Major Security-based Swap Participants Proposed by SEC).