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Substituted Compliance Application

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Release Number	SEC Issue Date	File Number	Details
34-92716	Aug. 20, 2021	S7-09-21	Notice of Substituted Compliance Application Submitted by the Spanish Financial Conduct Authority in Connection With Certain Requirements Applicable to Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the Kingdom of Spain; Proposed Order View Received Comments See Also - Application Federal Register version (86 FR 47668)
34-92632	Aug. 10, 2021	S7-07-21	Notice of Substituted Compliance Application Submitted by UBS AG and Credit Suisse AG in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers Subject to Regulation in the Swiss Confederation; Proposed Order View Received Comments See Also - Substituted Compliance Application, Annex 1, and Annex 2 Submit a Comment on S7-07-21 Federal Register version (86 FR 45770)
34-91476	April 5, 2021	S7-04-21	Notice of Substituted Compliance Application Submitted by the United Kingdom Financial Conduct Authority in Connection With Certain Requirements Applicable to Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the United Kingdom; Proposed Order View Received Comments Federal Register version (86 FR 18378)
34-90766	Dec. 22, 2020	S7-22-20	Notice of Substituted Compliance Application Submitted by the French Autorit des Marchs Financiers and the Autorit de Contrle Prudential et de Resolution in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the French Republic; Proposed Order *Comments Due:* 25 days after publication in the Federal Register View Received Comments Federal Register version (85 FR 85720)
34-90378	Nov. 9, 2020	S7-16-20	Notice of Substituted Compliance Application Submitted by the Bundesanstalt fr Finanzdienstleistungsaufsicht in Connection With Certain Requirements Applicable to Security-Based Swap Entities Subject to Regulation in the Federal Republic of Germany; Proposed Order *Comments Due:* December 8, 2020 View Received Comments Federal Register version (85 FR 72726)