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SEC RIN: 3235-AK91 Publication ID: Fall 2016 
Title: Trade Acknowledgement and Verification of Security-Based Swap Transactions 
Abstract:

The Commission adopted Rule 15Fi-1 pursuant to section 15F of the Exchange Act, amended by the Dodd-Frank Act, to require security-based swap dealers and major 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: Completed Actions 
Major: No  Unfunded Mandates: No 
CFR Citation: 17 CFR 240.15Fi-1   
Legal Authority: 15 U.S.C. 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    
NPRM Comment Period Reopened  05/23/2013  78 FR 30800   
NPRM Comment Period Reopened End  07/22/2013 
Final Action  06/17/2016  81 FR 39808   
Final Action Effective  08/16/2016 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/final/2016/34-78011.pdf  
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