2022-02-11 | 2022-02552Added · Updated
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.
request to your principal inspector or responsible Flight Standards Office, as appropriate. If sending information directly to the manager of the certification office, send it to ATTN: Program Manager, Continuing Operational Safety, FAA, New York ACO Branch, 1600 Stewart Avenue, Suite 410, Westbury, NY 11590; telephone 516–228–7300; fax 516–794–5531. Before using any approved AMOC, notify your appropriate principal inspector, or lacking a principal inspector, the manager of the responsible Flight Standards Office. (2) Contacting the Manufacturer: For any requirement in this AD to obtain instructions from a manufacturer, the instructions must be accomplished using a method approved by the Manager, New York ACO Branch, FAA; or Transport Canada Civil Aviation (TCCA); or Bombardier, Inc.’s TCCA Design Approval Organization (DAO). If approved by the DAO, the approval must include the DAO-authorized signature. (o) Related Information (1) Refer to Mandatory Continuing Airworthiness Information (MCAI) TCCA AD CF–2016–32R4, dated October 13, 2020; and TCCA AD CF–2020–38, dated October 13, 2020; for related information. This MCAI may be found in the AD docket on the internet at https://www.regulations.gov by searching for and locating Docket No. FAA– 2021–0725. (2) For more information about this AD, contact Steven Dzierzynski, Aerospace Engineer, Avionics and Electrical Systems Section, FAA, New York ACO Branch, 1600 Stewart Avenue, Suite 410, Westbury, NY 11590; telephone 516–228–7367; fax 516– 794–5531; email 9-avs-nyaco-cos@faa.gov. (3) Service information identified in this AD that is not incorporated by reference is available at the addresses specified in paragraphs (p)(5) and (6) of this AD. (p) Material Incorporated by Reference (1) The Director of the Federal Register approved the incorporation by reference (IBR) of the service information listed in this paragraph under 5 U.S.C. 552(a) and 1 CFR part 51. (2) You must use this service information as applicable to do the actions required by this AD, unless this AD specifies otherwise. (3) The following service information was approved for IBR on February 25, 2022 (87 FR 3184, January 21, 2022). (i) Bombardier Service Bulletin 604–28– 022, Revision 3, dated August 31, 2018. (ii) Bombardier Service Bulletin 604–28– 024, Revision 01, dated May 28, 2021. (iii) Bombardier Service Bulletin 605–28– 010, Revision 3, dated August 31, 2018. (iv) Bombardier Service Bulletin 605–28– 012, dated June 16, 2020. (v) Bombardier Service Bulletin 650–28– 001, Revision 3, dated January 3, 2019. (vi) Bombardier Service Bulletin 650–28– 002, dated June 16, 2020. (4) The following service information was approved for IBR on November 30, 2017 (82 FR 49498, October 26, 2017). (i) Bombardier Service Bulletin 604–28– 022, dated October 19, 2015. (ii) Bombardier Service Bulletin 605–28– 010, dated October 19, 2015. (5) For service information identified in this AD, contact Bombardier Business Aircraft Customer Response Center, 400 CoˆteVertu Road West, Dorval, Que´bec H4S 1Y9, Canada; telephone 1–514–855–2999; email ac.yul@aero.bombardier.com; internet https://www.bombardier.com. (6) You may view this service information at the FAA, Airworthiness Products Section, Operational Safety Branch, 2200 South 216th St., Des Moines, WA. For information on the availability of this material at the FAA, call 206–231–3195. (7) You may view this service information that is incorporated by reference at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, email fr.inspection@nara.gov, or go to: https://www.archives.gov/federal-register/cfr/ ibr-locations.html. Issued on February 7, 2022. Lance T. Gant, Director, Compliance & Airworthiness Division, Aircraft Certification Service. [FR Doc. 2022–02881 Filed 2–10–22; 8:45 am] BILLING CODE 4910–13–P SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 249 [Release No. 34–87005D; File No. S7–05– 14] RIN 3235–AL45 Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and BrokerDealers; Correction AGENCY: Securities and Exchange Commission. ACTION: Correcting amendment. SUMMARY: On September 19, 2019, the Securities and Exchange Commission (the ‘‘Commission’’) adopted recordkeeping, reporting, and notification requirements applicable to security-based swap dealers and major security-based swap participants, securities count requirements applicable to certain security-based swap dealers, and additional recordkeeping requirements applicable to brokerdealers to account for their securitybased swap and swap activities. Release 34–87005 (Sept. 19, 2019) was published in the Federal Register on Dec. 16, 2019. This document corrects technical inaccuracies in that release. DATES: Effective February 11, 2022. FOR FURTHER INFORMATION CONTACT: Valentina Minak Deng, Special Counsel, at (202) 551–5778; Division of Trading and Markets, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549–7010. SUPPLEMENTARY INFORMATION: We are making technical corrections to Part II and Part IIC of Form X–17A–5 (referenced in 17 CFR 249.617). The release resulting in the technical inaccuracies was published in the Federal Register on December 16, 2019 at 84 FR 68550, and adopted by the Commission in Exchange Act Release No. 87005 on September 19, 2019. List of Subjects in 17 CFR Part 249 Brokers, Recordkeeping and reporting requirements, Securities. Accordingly, 17 CFR part 249 is corrected by making the following amendments: PART 249—FORMS, SECURITIES EXCHANGE ACT OF 1934 ■ 1. The authority citation for part 249 continues to read, in part, as follows: Authority: 15 U.S.C. 78a et seq. and 7201 et seq.; 12 U.S.C. 5461 et seq.; 18 U.S.C. 1350; Sec. 953(b), Pub. L. 111–203, 124 Stat. 1904; Sec. 102(a)(3), Pub. L. 112–106, 126 Stat. 309 (2012); Sec. 107, Pub. L. 112–106, 126 Stat. 313 (2012), and Sec. 72001, Pub. L. 114–94, 129 Stat. 1312 (2015), unless otherwise noted.
Section 249.617 is also issued under Pub. L. 111–203, 939, 939A, 124. Stat. 1376 (2010) (15 U.S.C. 78c, 15 U.S.C. 78o–7 note).
■ 2. Amend Part II of Form X–17A–5 (referenced in § 249.617 of this chapter) by: BILLING CODE 8011–01–P
Note: The text of Part II of Form X–17A– 5 does not and this amendment will not appear in the Code of Federal Regulations. ■ 3. Amend Part IIC of Form X–17A–5 (referenced in § 249.617 of this chapter) by: ER11FE22.000</GPH> ■ a. Removing "D. Minimum CFTC net capital requirement; Enter the greatest of Lines A.v, B, or C ............. $ ___ 174901" and adding in its place "D. Minimum CFTC net capital requirement; Enter the greatest of Lines A.vii, B, or C ............. $ __ _ 174901"; and ■ b. Removing "CFTC early warning level - enter the greatest of 110% of Line A.v. or 150% of Line B or 150% of Line C or $375,000 ............. $ ___ 174951" and adding in its place "CFTC early warning level- enter the greatest of 110% of Line A.vii. or 150% of Line B or 150% of Line C ............. $ ___ 174951".
ER11FE22.001</GPH> ■ a. ■ b. ■ C. ■ d. ■ e. ■ f. ■ g. ■ h. ■ i. ■ j. ■ k. ■ 1. ■ m. ■ n. ■ 0. Removing "1127581" and adding in its place "112820~'; Removing "1127591" and adding in its place "112821~'; Removing "1127601" and adding in its place "112007~'; Removing "1127611" and adding in its place "112008~'; Removing "1127621" and adding in its place "112999~'; Removing '1127631" and adding in its place "1120091"; Removing "1127641" and adding in its place "112010~'; Removing "1127651" and adding in its place "112011h Removing "1127661" and adding in its place "1120121"; Removing "1127671" and adding in its place "1120131"; Removing "1127681" and adding in its place "112822~'; Removing "1127691" and adding in its place "1128231"; Removing "1127701" and adding in its place "112824~'; Removing "1127711" and adding in its place "112825~'; Removing "1127721" and adding in its place "112826~';
ER11FE22.002</GPH> ■ p. Removing "1127731" and adding in its place "1128271"; ■ q. Removing "1127741" and adding in its place "1128281"; ■ r. Removing "1127751" and adding in its place "1128291"; ■ s. Removing "1127761" and adding in its place "1128301"; ■ t. Removing "1127771" and adding in its place "11283 ll"; ■ u. Removing "1127781" and adding in its place "1128321"; ■ V. Removing "1127791" and adding in its place "1128331"; ■ w. Removing '1127801" and adding in its place "1128341"; ■ x. Removing "1127811" and adding in its place "1128351"; ■ y. Removing "1127821" and adding in its place "1128361"; ■ z. Removing "1127831" and adding in its place "1128371"; ■ aa. Removing "1127841" and adding in its place "1128381"; ■ bb. Removing "1127851" and adding in its place "1128391"; ■ cc. Removing "1127861" and adding in its place "1128401"; ■ dd. Removing "1128011" and adding in its place "1121061"; ■ ee. Removing "1128021" and adding in its place "1121071"; ■ ff. Removing "1128031" and adding in its place "1121081"; ■ gg. Removing "1128041" and adding in its place "1121091"; ■ hh. Removing "1128051" and adding in its place "1121 IOI"; ■ 11. Removing "1128061" and adding in its place "11211 II"; ■ JJ. Removing "1128071" and adding in its place "182951"; ■ kk. Removing "1128091" and adding in its place "1121141"; ■ 11. Removing "1128101" and adding in its place "1121151"; ■ mm. Removing '11281 II" and adding in its place "1121161";
Note: The text of Part IIC of Form X–17A– 5 does not and this amendment will not appear in the Code of Federal Regulations. Dated: February 2, 2022. J. Matthew DeLesDernier, Assistant Secretary. [FR Doc. 2022–02552 Filed 2–10–22; 8:45 am] BILLING CODE 8011–01–C
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