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SEC Rulemakings list

   

Final Rule: Trade Acknowledgment and Verification of Security-Based Swap Transactions

Final Rule: Trade Acknowledgment and Verification of Security-Based Swap Transactions

RIN: 3235-AK91

Agency/Agencies: SEC

Federal Register Publication Date: 06/17/2016

Summary: In accordance with Section 764(a) of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, the SEC adopted Rules 15Fi-1 and 15Fi-2 under the Securities Exchange Act of 1934 (“Exchange Act”) requiring security-based swap dealers and major security-based swap participants to provide trade acknowledgments and to verify those trade acknowledgments in security-based swap transactions. The SEC also amended Rule 3a71-6 under the Exchange Act to address the potential availability of substituted compliance in connection with those trade acknowledgment and verification requirements.

Ianthe Zabel
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