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Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants

SEC · final-rule · Published 2022-11-03 · Effective 2023-01-03 · 87 FR 66412

Document

Document number
2022-22670
Federal Register citation
87 FR 66412
CFR reference
17 CFR 240
Type
Rule
Action
Final rule.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
2022-11-03
Effective date
2023-01-03
Docket
Release No. 34-96034

Abstract

The Securities and Exchange Commission ("Commission") is adopting amendments to the recordkeeping rules applicable to broker- dealers, security-based swap dealers, and major security-based swap participants. The amendments modify requirements regarding the maintenance and preservation of electronic records, the use of third- party recordkeeping services to hold records, and the prompt production of records. The Commission also is designating broker-dealer examining authorities as Commission designees for purposes of certain provisions of the broker-dealer record maintenance and preservation rule.

Source

Authoritative
Federal Register document
Machine
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