Regulatory Alerts2016-06-17 | 2016-13915Added · Updated
Trade Acknowledgment and Verification of Security-Based Swap Transactions
The Securities and Exchange Commission adopted Rules 15Fi-1 and 15Fi-2 to require security-based swap dealers and major security-based swap participants to provide and verify trade acknowledgments for security-based swap transactions. The Commission also amended Rule 3a71-6 to address the availability of substituted compliance, allowing non-U.S. entities to satisfy these requirements by complying with comparable foreign regulatory regimes. These final rules establish specific definitions, timing requirements, and exceptions for clearing transactions and those executed on security-based swap execution facilities or national securities exchanges.
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