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Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Correction

SEC · final-rule · Published 2021-06-11 · Effective 2021-06-11 · 86 FR 31115

Document

Document number
2021-11572
Federal Register citation
86 FR 31115
CFR reference
17 CFR 200
Type
Rule
Action
Final rule; correcting amendment.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
2021-06-11
Effective date
2021-06-11
Docket
Release No. 34-87005B

Abstract

On September 19, 2019, the Securities and Exchange Commission (the ``Commission'') adopted recordkeeping, reporting, and notification requirements applicable to security-based swap dealers and major security-based swap participants, securities count requirements applicable to certain security-based swap dealers, and additional recordkeeping requirements applicable to broker-dealers to account for their security-based swap and swap activities. Release 34-87005 (Sept. 19, 2019) was published in the Federal Register on Dec. 16, 2019 ( ). This document corrects certain technical inaccuracies in that release.

Source

Authoritative
Federal Register document
Machine
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