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Amendment to Rule Filing Requirements for Dually-Registered Clearing Agencies

SEC · final-rule · Published 2013-04-09 · Effective 2013-06-10 · 78 FR 21046

Document

Document number
2013-08141
Federal Register citation
78 FR 21046
CFR reference
17 CFR 240
Type
Rule
Action
Final rule.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
2013-04-09
Effective date
2013-06-10
Docket
Release No. 34-69284

Abstract

The Securities and Exchange Commission ("SEC" or "Commission") is affirming recent amendments to Rule 19b-4 under the Securities Exchange Act of 1934 ("Exchange Act") in connection with filings of proposed rule changes by certain registered clearing agencies and is expanding on those amendments in response to comments received (collectively, "Final Rule"). The Commission also is making corresponding technical modifications to the General Instructions for Form 19b-4 under the Exchange Act. The amendments to Rule 19b-4 and the instructions to Form 19b-4 are intended to streamline the rule filing process in areas involving certain activities concerning non-security products that may be subject to duplicative or inconsistent regulation as a result of, in part, certain provisions under Section 763(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 ("Dodd-Frank Act").

Source

Authoritative
Federal Register document
Machine
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