Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Capital Rule for Certain Security-Based Swap Dealers

SUMMARY

In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''), the Securities and Exchange Commission (``Commission''), pursuant to the Securities Exchange Act of 1934 (``Exchange Act''), is proposing recordkeeping, reporting, and notification requirements applicable to security-based swap dealers (``SBSDs'') and major security-based swap participants (``MSBSPs''), securities count requirements applicable to certain SBSDs, and additional recordkeeping requirements applicable to broker- dealers to account for their security-based swap and swap activities. The Commission also is proposing an additional capital charge provision that would be added to the proposed capital rule for certain SBSDs. Finally, the Commission is proposing technical amendments to the broker-dealer recordkeeping, reporting, and notification requirements.

 
CONTENT

Federal Register, Volume 79 Issue 85 (Friday, May 2, 2014)

Federal Register Volume 79, Number 85 (Friday, May 2, 2014)

Proposed Rules

Pages 25193-25386

From the Federal Register Online via the Government Printing Office www.gpo.gov

FR Doc No: 2014-09108

Page 25193

Vol. 79

Friday,

No. 85

May 2, 2014

Part II

Securities and Exchange Commission

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17 CFR Parts 240 and 249

Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Capital Rule for Certain Security-Based Swap Dealers; Proposed Rules