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Final Rule

Security-Based Swap Data Repository Registration, Duties, and Core Principles

Overview

Pursuant to Section 763(i) of Title VII ("Title VII') of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 ("Dodd-Frank Act'), the Securities and Exchange Commission ("Commission') is adopting new rules under the Securities Exchange Act of 1934 ("Exchange Act') governing the security-based swap data repository ("SDR') registration process, duties, and core principles. The Commission is also adopting a new registration form. Additionally, the Commission is amending several of its existing rules and regulations in order to accommodate SDRs. First, the Commission is amending Regulation S-T and Exchange Act Rule 24b-2 to clarify that all filings by SDRs, including any confidential portion, and their requests for confidential treatment must be filed electronically. Second, the Commission is amending Regulation S-T by, among other things, adding a new rule that specifically applies to the electronic filing of SDRs' financial reports.

Prior Actions

Last Reviewed or Updated: April 7, 2023