Securities and Exchange Commission June 17, 2016 – Federal Register Recent Federal Regulation Documents

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.