Document ID: SEC-2020-0865-0001
Agency: sec
Document Type: Rule
Title: Recordkeeping and Reporting Requirements: Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Correction
Posted Date: 2020-06-01T04:00Z

[Federal Register Volume 85, Number 105 (Monday, June 1, 2020)]
[Rules and Regulations]
[Pages 33020-33021]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-10016]

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SECURITIES AND EXCHANGE COMMISSION

17 CFR Part 240

[Release No. 34-87005A; File No. S7-05-14]
RIN 3235-AL45

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

AGENCY: Securities and Exchange Commission.

ACTION: Correcting amendment.

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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

0
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,

[[Page 33021]]

78g, 78i, 78j, 78j-1, 78k, 78k-1, 78l, 78m, 78n, 78n-1, 78o, 78o-4, 
78o-10, 78p, 78q, 78q-1, 78s, 78u-5, 78w, 78x, 78dd, 78ll, 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.
* * * * *

0
2. In Sec.  240.18a-6, revise paragraph (b)(1)(x) to read as follows:

Sec.  240.18a-6  Records to be preserved by certain security-based swap 
dealers and major security-based swap participants.

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

    Dated: May 6, 2020.
Vanessa A. Countryman,
Secretary.
[FR Doc. 2020-10016 Filed 5-29-20; 8:45 am]
BILLING CODE 8011-01-P