# Trade Acknowledgment and Verification of Security-Based Swap Transactions
> **US Securities and Exchange Commission** · Final rule. · Published 2016-06-17 · Effective 2016-08-16 · 81 FR 39808
## Document
- **Document number:** 2016-13915
- **Category:** final-rule
- **Agency:** US Securities and Exchange Commission
- **Federal Register citation:** 81 FR 39808
- **CFR reference:** 17 CFR 240
- **Publication date:** 2016-06-17
- **Effective date:** 2016-08-16
- **Docket:** Release No. 34-78011
## Abstract

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.

## Source
- [Federal Register document](https://www.federalregister.gov/documents/2016/06/17/2016-13915/trade-acknowledgment-and-verification-of-security-based-swap-transactions)
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