Regulatory Alerts2021-06-11 | 2021-11572Added
Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Correction
The Securities and Exchange Commission issued a correcting amendment to address technical inaccuracies in its September 2019 final rule regarding recordkeeping and reporting requirements for security-based swap dealers, major security-based swap participants, and broker-dealers. This action revises specific provisions in 17 CFR 240.17a-4 and 240.17a-12, as well as Parts II and IIC of Form X-17A-5, to ensure regulatory consistency and operational accuracy. The correcting amendments became effective on June 11, 2021, and modify requirements related to record preservation, audit reporting, and financial statement line items for covered entities.
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