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SEC | RIN: 3235-AM76 | Publication ID: Fall 2022 |
Title: Electronic Recordkeeping Requirements for Broker-Dealers and Security-Based Swap Dealers and Major Security-Based Swap Participants | |
Abstract:
The Division is considering recommending that the Commission adopt amendments to the electronic recordkeeping requirements for broker-dealers, security-based swap dealers, and major security-based swap participants. |
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Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
RIN Status: Previously published in the Unified Agenda | Agenda Stage of Rulemaking: Final Rule Stage |
Major: Undetermined | Unfunded Mandates: No |
CFR Citation: 17 CFR 240.17a-4 | |
Legal Authority: 15 U.S.C. 78q |
Legal Deadline:
None |
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Timetable:
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Regulatory Flexibility Analysis Required: No | Government Levels Affected: None |
Small Entities Affected: Businesses | Federalism: No |
Included in the Regulatory Plan: No | |
RIN Data Printed in the FR: No | |
Agency Contact: Nina Kostyukovskyn Attorney Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-8833 Email: kostyukovskyn@sec.gov |