Document ID: SEC-2021-1106-0001
Agency: sec
Document Type: Rule
Title: Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers: Correction
Posted Date: 2021-08-16T04:00Z

[Federal Register Volume 86, Number 155 (Monday, August 16, 2021)]
[Rules and Regulations]
[Page 45631]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-16960]

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SECURITIES AND EXCHANGE COMMISSION

17 CFR Part 249

[Release No. 34-87005C; 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: Final rule; correction.

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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

0
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).
* * * * *

0
2. Amend Part II of Form X-17A-5 (referenced in Sec.  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.
[FR Doc. 2021-16960 Filed 8-13-21; 8:45 am]
BILLING CODE 8011-01-P