federal_register: 2011-14572

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document_number title type abstract publication_date pub_year pub_month html_url pdf_url agency_names agency_ids excerpts regulation_id_numbers
2011-14572 Beneficial Ownership Reporting Requirements and Security-Based Swaps Rule 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. 2011-06-14 2011 6 https://www.federalregister.gov/documents/2011/06/14/2011-14572/beneficial-ownership-reporting-requirements-and-security-based-swaps https://www.govinfo.gov/content/pkg/FR-2011-06-14/pdf/2011-14572.pdf Securities and Exchange Commission 466 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...  

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