Regulatory Alerts2020-06-01 | 2020-10016Added · 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 correcting amendment to fix an inadvertent error in a cross-reference within its final regulations on recordkeeping and reporting requirements. This correction specifically revises paragraph (b)(1)(x) of 17 CFR 240.18a-6 to accurately reference the required records for security-based swap dealers and major security-based swap participants. The correcting amendment became effective on June 1, 2020, ensuring regulatory clarity for the affected entities.
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