Regulatory Alerts2022-02-11 | 2022-02552Added
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 Release No. 34–87005, which originally established recordkeeping and reporting requirements for security-based swap dealers, major security-based swap participants, and broker-dealers. This document specifically amends Part II and Part IIC of Form X–17A–5 to correct references to CFTC net capital requirements and update various numerical codes within the form. The corrections are effective February 11, 2022, and ensure the regulatory forms accurately reflect the capital and reporting obligations adopted in September 2019.
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