federal_register: 2016-13915

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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
2016-13915 Trade Acknowledgment and Verification of Security-Based Swap Transactions Rule 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. 2016-06-17 2016 6 https://www.federalregister.gov/documents/2016/06/17/2016-13915/trade-acknowledgment-and-verification-of-security-based-swap-transactions https://www.govinfo.gov/content/pkg/FR-2016-06-17/pdf/2016-13915.pdf Securities and Exchange Commission 466 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...  

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