Rule · SEC · 15 Oct 2019 · 2019-22053
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.
SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 200 and 240 [Release No. 34–86175A; File No. S7–08– 12] RIN 3235–AL12 Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major SecurityBased Swap Participants and Capital and Segregation Requirements for Broker-Dealers; Correction AGENCY: Securities and Exchange Commission. ACTION: Final rule; correction. SUMMARY: The Commission is correcting a final rule that appeared in the Federal Register on August 22, 2019. In the document, the Commission adopted capital and margin requirements for security-based swap dealers (‘‘SBSDs’’) and major security-based swap participants (‘‘MSBSPs’’), segregation requirements for SBSDs, and notification requirements with respect to segregation for SBSDs and MSBSPs in accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act. DATES: Effective October 21, 2019. FOR FURTHER INFORMATION CONTACT:
Sheila Dombal Swartz, Senior Special Counsel, at (202) 551–5545; Division of Trading and Markets, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549–7010. SUPPLEMENTARY INFORMATION: In FR Doc. 19–13609 appearing on page 43872 in the Federal Register of Thursday, August 22, 2019, the following corrections are made:
§ 200.30–3 [Corrected]
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“In FR Doc. 19–13609 appearing on page 43872 in the Federal Register of Thursday, August 22, 2019, the following corrections are made:”
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