SEC.gov | Staff Guidance—Elements of an Application for Substituted Compliance for Foreign Security-Based Swap Dealers and Major Security-Based Swap Participants

Staff Guidance—Elements of an Application for Substituted Compliance for Foreign Security-Based Swap Dealers and Major Security-Based Swap Participants

staff-guidance-elements-substituted-compliance-application_0.pdf

This staff guidance outlines elements that staff encourages applicants to include in a substituted compliance application for non-U.S. person security-based swap dealers and major security-based swap participants pursuant to Rules 0-13 and 3a71-6 under the Securities Exchange Act of 1934 (“Exchange Act”).