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.
Supporting Statement A
Approved without change
|New collection (Request for a new OMB Control Number)||2020-02-04|
Comment filed on proposed rule
|New collection (Request for a new OMB Control Number)||2019-09-11|
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight