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

---
identifier: "/us/fr/2021-16960"
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: "2021-16960"
section_name: "Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Correction"
positive_law: false
currency: "2021-08-16"
last_updated: "2021-08-16"
format_version: "1.1.0"
generator: "[email protected]"
agency: "Securities and Exchange Commission"
document_number: "2021-16960"
document_type: "rule"
publication_date: "2021-08-16"
agencies:
  - "Securities and Exchange Commission"
cfr_references:
  - "17 CFR Part 249"
rin: "3235-AL45"
fr_citation: "86 FR 45631"
fr_volume: 86
docket_ids:
  - "Release No. 34-87005C"
  - "File No. S7-05-14"
effective_date: "2021-08-16"
fr_action: "Final rule; correction."
---


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

**AGENCY:**

Securities and Exchange Commission.

**ACTION:**

Final rule; correction.

**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 broker-dealers to account for their security-based swap and swap activities. Release 34-87005 (Sept. 19, 2019) was published in the *Federal Register* on Dec. 16, 2019 (84 FR 68550). This document corrects a technical inaccuracy in that release.

**DATES:**

Effective August 16, 2021.

**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 a technical correction to Part II of Form X-17A-5 (referenced in 17 CFR 249.617). The release resulting in the technical inaccuracy was published in the *Federal Register* on December 16, 2019 [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 amendment:

**PART 249—FORMS, SECURITIES EXCHANGE ACT OF 1934**

**17 CFR Part 249**

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. 78 *o* -7 note).

**17 CFR Part 249**

2. Amend Part II of Form X-17A-5 (referenced in § 249.617) by removing “4) Rule 18a-7 99” and adding in its place “4) Rule 18a-7 12999”.

**Note:**

The text of Part II of Form X-17A-5 and the instructions thereto do not and this amendment will not appear in the Code of Federal Regulations.

Dated: August 4, 2021.

Vanessa A. Countryman,

Secretary.