Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Correction

---
identifier: "/us/fr/2020-10016"
source: "fr"
legal_status: "authoritative_unofficial"
title: "Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Correction"
title_number: 0
title_name: "Federal Register"
section_number: "2020-10016"
section_name: "Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Correction"
positive_law: false
currency: "2020-06-01"
last_updated: "2020-06-01"
format_version: "1.1.0"
generator: "[email protected]"
agency: "Securities and Exchange Commission"
document_number: "2020-10016"
document_type: "rule"
publication_date: "2020-06-01"
agencies:
  - "Securities and Exchange Commission"
cfr_references:
  - "17 CFR Part 240"
rin: "3235-AL45"
fr_citation: "85 FR 33020"
fr_volume: 85
docket_ids:
  - "Release No. 34-87005A"
  - "File No. S7-05-14"
effective_date: "2020-06-01"
fr_action: "Correcting amendment."
---


#  Records to be preserved by certain security-based swap dealers and major security-based swap participants.

**AGENCY:**

Securities and Exchange Commission.

**ACTION:**

Correcting amendment.

**SUMMARY:**

On December 16, 2019, the Securities and Exchange Commission revised Commission rules. That document inadvertently listed an incorrect subordinate paragraph in a cross-reference to a rule. This document corrects the final regulations.

**DATES:**

Effective on June 1, 2020.

**FOR FURTHER INFORMATION CONTACT:**

Sheila Dombal Swartz, Senior Special Counsel, at (202) 551-5545; Division of Trading and Markets, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549-7010.

**SUPPLEMENTARY INFORMATION:**

The Commission is making a correcting amendment to 17 CFR 240.18a-6 (Rule 18a-6) under the Securities Exchange Act of 1934 (“Exchange Act”), published on December 16, 2019 [84 FR 68550] and adopted in Exchange Act Release No. 87005 (September 19, 2019).

**List of Subjects in 17 CFR Part 240**

Brokers, Confidential business information, Fraud, Reporting and recordkeeping requirements, Securities.

Accordingly, 17 CFR part 240 is corrected by making the following correcting amendments:

**PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934**

**17 CFR Part 240**

1. The general authority citation for part 240 continues to read as follows:

**Authority:**

15 U.S.C. 77c, 77d, 77g, 77j, 77s, 77z-2, 77z-3, 77eee, 77ggg, 77nnn, 77sss, 77ttt, 78c, 78c-3, 78c-5, 78d, 78e, 78f,  78g, 78i, 78j, 78j-1, 78k, 78k-1, 78 *l,* 78m, 78n, 78n-1, 78 *o,* 78 *o* -4, 78 *o* -10, 78p, 78q, 78q-1, 78s, 78u-5, 78w, 78x, 78dd, 78 *ll,* 78mm, 80a-20, 80a-23, 80a-29, 80a-37, 80b- 3, 80b-4, 80b-11, and 7201 *et seq.,* and 8302; 7 U.S.C. 2(c)(2)(E); 12 U.S.C. 5221(e)(3); 18 U.S.C. 1350; Pub. L. 111-203, 939A, 124 Stat. 1376 (2010); and Pub. L. 112-106, sec. 503 and 602, 126 Stat. 326 (2012), unless otherwise noted.

**17 CFR Part 240**

2. In § 240.18a-6, revise paragraph (b)(1)(x) to read as follows:

§ 240.18a-6

(b)(1) * * *

(x) The records required to be made pursuant to § 240.18a-1(e)(2)(iii)(F)( *1* ) and ( *2* ).

Dated: May 6, 2020.

Vanessa A. Countryman,

Secretary.