{"abstract":"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.","action":"Final rule; confirmation.","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"body_html_url":"https://www.federalregister.gov/documents/full_text/html/2011/06/14/2011-14572.html","cfr_references":[{"chapter":null,"citation_url":null,"part":240,"title":17}],"citation":"76 FR 34579","comment_url":null,"comments_close_on":null,"correction_of":null,"corrections":[],"dates":"Effective Date: The effective date of this confirmation is July 16, 2011.","disposition_notes":null,"docket_ids":["Release No. 34-64628","File No. S7-10-11"],"dockets":[],"document_number":"2011-14572","effective_on":"2011-07-16","end_page":34590,"executive_order_notes":null,"executive_order_number":null,"explanation":null,"full_text_xml_url":"https://www.federalregister.gov/documents/full_text/xml/2011/06/14/2011-14572.xml","html_url":"https://www.federalregister.gov/documents/2011/06/14/2011-14572/beneficial-ownership-reporting-requirements-and-security-based-swaps","images":{},"images_metadata":{},"json_url":"https://www.federalregister.gov/api/v1/documents/2011-14572?publication_date=2011-06-14","mods_url":"https://www.govinfo.gov/metadata/granule/FR-2011-06-14/2011-14572/mods.xml","not_received_for_publication":null,"page_length":12,"page_views":{"count":943,"last_updated":"2026-04-04 18:15:03 -0400"},"pdf_url":"https://www.govinfo.gov/content/pkg/FR-2011-06-14/pdf/2011-14572.pdf","presidential_document_number":null,"proclamation_number":null,"public_inspection_pdf_url":null,"publication_date":"2011-06-14","raw_text_url":"https://www.federalregister.gov/documents/full_text/text/2011/06/14/2011-14572.txt","regulation_id_number_info":{"3235-AK98":{"issue":"201104","html_url":"https://www.federalregister.gov/regulations/3235-AK98/beneficial-ownership-reporting-requirements-and-security-based-swaps","title":"Beneficial Ownership Reporting Requirements and Security-Based Swaps","xml_url":"http://www.reginfo.gov/public/do/eAgendaViewRule?pubId=201104&RIN=3235-AK98&operation=OPERATION_EXPORT_XML","priority_category":"Substantive, Nonsignificant"}},"regulation_id_numbers":["3235-AK98"],"regulations_dot_gov_info":{"checked_regulationsdotgov_at":"2011-07-01T19:21:48Z"},"regulations_dot_gov_url":null,"significant":false,"signing_date":null,"start_page":34579,"subtype":null,"title":"Beneficial Ownership Reporting Requirements and Security-Based Swaps","toc_doc":"Beneficial Ownership Reporting Requirements and Security-Based Swaps","toc_subject":null,"topics":["Reporting and recordkeeping requirements","Securities"],"type":"Rule","volume":76}