Regulatory Alerts2019-10-15 | 2019-22053Added · Updated
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers; Correction
The Securities and Exchange Commission issued a correction to a final rule regarding capital, margin, and segregation requirements for security-based swap dealers, major security-based swap participants, and broker-dealers. This document amends specific regulatory citations in 17 CFR Parts 200 and 240 to accurately reflect the authority and amendment instructions originally published on August 22, 2019. The corrections address typographical errors in the listing of revised and added sectional authorities for various sections of the Code of Federal Regulations.
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