Regulatory Alerts2021-08-16 | 2021-16960Added · Updated
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 final rule correction to address a technical inaccuracy in its September 2019 release regarding recordkeeping and reporting requirements for security-based swap dealers, major security-based swap participants, and broker-dealers. The amendment specifically modifies Part II of Form X-17A-5 by replacing the reference to Rule 18a-7 page 99 with page 12999. This correction to 17 CFR Part 249 became effective on August 16, 2021, ensuring the regulatory text accurately reflects the Commission's adopted standards.
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