Rule 3a71-3 under the Securities Exchange Act of 1934 is designed to give effect to provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act that, among other things, would mitigate the operational difficulties that could arise in connection with investigating the activities of a counterparty to ensure compliance with the rules.
The latest form for Rule 3a71-3 Cross Border Security-Based Swap Dealing Activity expires 2023-01-31 and can be found here.
Document Name |
---|
Supplementary Document |
Supplementary Document |
Supporting Statement A |
Approved without change |
Extension without change of a currently approved collection | 2022-11-01 | |
Approved with change |
Extension without change of a currently approved collection | 2019-08-21 | |
Approved without change |
New collection (Request for a new OMB Control Number) | 2016-06-02 | |
Comment filed on proposed rule |
New collection (Request for a new OMB Control Number) | 2014-03-10 |
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight