# Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers
> **US Securities and Exchange Commission** · Final rule. · Published 2019-12-16 · Effective 2020-02-14 · 84 FR 68550
## Document
- **Document number:** 2019-20678
- **Category:** final-rule
- **Agency:** US Securities and Exchange Commission
- **Federal Register citation:** 84 FR 68550
- **CFR reference:** 17 CFR 200
- **Publication date:** 2019-12-16
- **Effective date:** 2020-02-14
- **Docket:** Release No. 34-87005
## Abstract

In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act"), the Securities and Exchange Commission ("Commission"), pursuant to the Securities Exchange Act of 1934 ("Exchange Act"), is adopting recordkeeping, reporting, and notification requirements applicable to security-based swap dealers ("SBSDs") and major security-based swap participants ("MSBSPs"), securities count requirements applicable to certain SBSDs, and additional recordkeeping requirements applicable to broker- dealers to account for their security-based swap and swap activities. The Commission also is making substituted compliance available with respect to recordkeeping, reporting, and notification requirements under Section 15F of the Exchange Act and the rules thereunder.

## Source
- [Federal Register document](https://www.federalregister.gov/documents/2019/12/16/2019-20678/recordkeeping-and-reporting-requirements-for-security-based-swap-dealers-major-security-based-swap)
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