SEC · other · Published 1998-11-12 · Effective 1999-01-04 · 63 FR 63143
Document
Document number
98-30248
Federal Register citation
63 FR 63143
CFR reference
17 CFR 200
Type
Rule
Action
Correction to final regulation.
Category
other
Agency
US Securities and Exchange Commission
Publication date
1998-11-12
Effective date
1999-01-04
Docket
Release No. 34-40594A
Abstract
This document contains a correction to final regulations (34- 40594), which were published Tuesday, November 3, 1998, (63 FR 59362). The regulations establish a new regulatory framework under the Securities Exchange Act of 1934 that tailor capital, margin, and other broker-dealer regulatory requirements to a class of registered dealers, called OTC derivatives dealers, that are active in over-the-counter derivatives markets.