Rule 3a71-3(d) - Conditional Exception from De Minimis Counting Requirement in Connection with Certain Transactions Arranged, Negotiated or Executed in the United States

OMB 3235-0771

OMB 3235-0771

The Securities and Exchange Commission adopted new paragraph (d) to Exchange Act rule 3a71-3, to provide a conditional exception from the security-based swap dealer de minimis counting requirement for certain transactions arranged, negotiated or executed by personnel in the United States.

The latest form for Rule 3a71-3(d) - Conditional Exception from De Minimis Counting Requirement in Connection with Certain Transactions Arranged, Negotiated or Executed in the United States expires 2023-04-30 and can be found here.

OMB Details

Title VII Disclosure Requirement (Group A)

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight


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