Extension of Dates for Certain Requirements and Amendment of Form 19b-4 (SEC - Fed. Reg. Version)

The SEC is amending its regulations under the Exchange Act to extend the dates for certain requirements therein, and amending the General Instructions to Form 19b-4 to clarify the process for submitting advance notices and security-based swap submissions to the SEC. Further, the SEC is extending the dates with respect to the requirements that designated clearing agencies for which the SEC is the supervisory agency file advance notices and clearing agencies file security-based swap submissions with the SEC in an electronic format to dedicated email addresses to December 10, 2013. This is being done to prevent the scenario that such filings are required to be filed with the SEC through a system that is not yet technologically able to accept them.

Effective Date: December 10, 2012.

View rule release in full: 77 FR 73302.