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.

A substituted compliance notice, and any amendment of a substituted compliance notice, may be submitted to the Commission at Secretarys-office@sec.gov with the subject line “Substituted Compliance Notice.”  

Substituted compliance notices submitted to the Commission will be published below. The Commission will not ordinarily provide a separate confirmation of submission.

Substituted Compliance Notices Submitted to the Commission