federal_register: 2011-6685

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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
2011-6685 Beneficial Ownership Reporting Requirements and Security-Based Swaps Proposed Rule To 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, we are proposing to readopt without change the relevant portions of Rules 13d-3 and 16a-1. The proposals are intended to clarify that following the July 16, 2011 statutory effective date of Section 13(o), which was added by Section 766 of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act"), persons who purchase or sell security-based swaps will remain within the scope of these rules to the same extent as they are now. 2011-03-22 2011 3 https://www.federalregister.gov/documents/2011/03/22/2011-6685/beneficial-ownership-reporting-requirements-and-security-based-swaps https://www.govinfo.gov/content/pkg/FR-2011-03-22/pdf/2011-6685.pdf Securities and Exchange Commission 466 To 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, we are proposing to readopt without change...  

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