Substituted Compliance Notices

May 30, 2024

Every security-based swap dealer and major security-based swap participant that relies on a substituted compliance order must, pursuant to that order, provide notice of its intent to rely on that order by notifying the Commission in writing. Firms relying on a substituted compliance order should consult the relevant order for a description of the information that the notice must include.

Substituted Compliance Notices Submitted to the Commission

2025

2024

2023

2022

2021

Last Reviewed or Updated: April 8, 2025