# Beneficial Ownership Reporting Requirements and Security-Based Swaps
> **US Securities and Exchange Commission** · Final rule; confirmation. · Published 2011-06-14 · Effective 2011-07-16 · 76 FR 34579
## Document
- **Document number:** 2011-14572
- **Category:** final-rule
- **Agency:** US Securities and Exchange Commission
- **Federal Register citation:** 76 FR 34579
- **CFR reference:** 17 CFR 240
- **Publication date:** 2011-06-14
- **Effective date:** 2011-07-16
- **Docket:** Release No. 34-64628
## Abstract

We are readopting without change the relevant portions of Rules 13d-3 and 16a-1. Readoption of these provisions will preserve the application of our existing beneficial ownership rules to persons who purchase or sell security-based swaps after the effective date of new Section 13(o) of the Securities Exchange Act of 1934. Section 13(o) provides that a person shall be deemed a beneficial owner of an equity security based on the purchase or sale of a security-based swap only to the extent we adopt rules after making certain determinations with respect to the purchase or sale of security-based swaps. After making the necessary determinations, we are readopting the relevant portions of Rules 13d-3 and 16a-1 to confirm that, following the July 16, 2011 statutory effective date of Section 13(o), persons who purchase or sell security-based swaps will remain within the scope of these rules to the same extent as they are now.

## Source
- [Federal Register document](https://www.federalregister.gov/documents/2011/06/14/2011-14572/beneficial-ownership-reporting-requirements-and-security-based-swaps)
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