Rule 3a71-3 Cross Border Security-Based Swap Dealing Activity

OMB 3235-0717

OMB 3235-0717

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.

OMB Details

Representation Regarding a Transaction Conducted Through a Foreign Branch - Initial

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight


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