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.
Supporting Statement A
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