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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 

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.  

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
Action Date FR Cite
NPRM  12/01/2021  86 FR 68300   
NPRM Comment Period End  01/03/2022 
Final Action  04/00/2023 
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
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-8833