2016-13915: Trade Acknowledgment and Verification of Security-Based Swap Transactions
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In accordance with Section 764(a) of 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 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 Commission also is amending Rule 3a71-6 under the Exchange Act to address the potential availability of substituted compliance in connection with those trade acknowledgment and verification requirements.
The agency’s own summary, as published.
What this changes
Amends 1 part of the Code of Federal Regulations — the standing rules this notice rewrites.
Rulemaking docket
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