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SEC RIN: 3235-AK91 Publication ID: 2012 
Title: Trade Acknowledgement and Verification of Security-Based Swap Transactions 
Abstract: The Commission proposed Rule 15Fi-1 pursuant to section 15F of the Exchange Act, amended by the Dodd-Frank Act, to require security-based swap dealers and security-based swap participants to provide trade acknowledgments and to verify those acknowledgments in security-based swap transactions. 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 240.15Fi-1 
Legal Authority: 15 USC 78m-8(i) 
Legal Deadline:
Action Source Description Date
Final  Statutory  Dodd-Frank Act sec 764  07/16/2011 
Timetable:
Action Date FR Cite
NPRM  01/21/2011  76 FR 3859 
NPRM Comment Period End  02/22/2011   
Final Action  06/00/2013   
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/proposed/2011/34-632727  
RIN Data Printed in the FR: No 
Agency Contact:
Darren Vieira
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5575
Email: vieirad@sec.gov

 
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