Rule 15Fi-2 Trade Acknowledgment and Verification of Security-Based Swap Transactions

Rule 15Fi-2 prescribes documentation standards for the timely and accurate acknowledgment and verification of SBS transactions by SBS Entities. The rule contains seven paragraphs: (a) the trade acknowledgment obligations of specific SBS Entities; (b) the prescribed time frames under which a trade acknowledgment must be provided; (c) the form and content requirements of the trade acknowledgment; (d) SBS Entities’ verification obligations; (e) a limited exception from the requirement to provide a clearing agency a trade acknowledgment in a clearing transaction; (f) a limited exception from the requirement to provide a trade acknowledgment for certain transactions executed on a security-based swap execution facility or a national securities exchange or accepted for clearing by a clearing agency; and (g) a limited exemption from the requirements of Exchange Act Rule 10b-10 for a broker-dealer acting as principal for its own account in a security-based swap transaction.

The latest form for Rule 15Fi-2 Trade Acknowledgment and Verification of Security-Based Swap Transactions expires 2023-03-31 and can be found here.

IC1 - Initial Modification of OMSs

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight