Securities and Exchange Commission January 21, 2011 – Federal Register Recent Federal Regulation Documents

Sunshine Act Meeting
Document Number: 2011-1295
Type: Notice
Date: 2011-01-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Trade Acknowledgment and Verification of Security-Based Swap Transactions
Document Number: 2011-1218
Type: Proposed Rule
Date: 2011-01-21
Agency: Securities and Exchange Commission, Agencies and Commissions
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 proposing rule 15Fi-1 under the Securities Exchange Act of 1934 (``Exchange Act''), 15 U.S.C. 78a et seq., which would require 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.