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PART 249 — FORMS, SECURITIES EXCHANGE ACT OF 1934
17.
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. 112106, 126 Stat. 313 (2012), and Sec. 72001, Pub. L. 114-94, 129 Stat. 1312 (2015), unless otherwise noted.
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18.
Subpart G is amended by revising the heading to read as follows:
Subpart G — Forms for Reports To Be Made by Certain Exchange Members, Brokers, Dealers, SecurityBased Swap Dealers, and Major Security-Based Swap Participants
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19.
Section 249.617 is revised to read as follows:
§ 249.617 Form X-17A-5, information required of certain brokers, dealers, security-based swap
dealers, and major security-based swap participants pursuant to sections 15F and 17 of the Securities
Exchange Act of 1934 and §§ 240.17a-5, 240.17a-10, 240.17a-11, 240.17a-12, and 240.18a-7of this chapter,
as applicable.
Appropriate parts of Form X-17A-5, as applicable, shall be used by brokers, dealers, security-based
swap dealers, and major security-based swap participants required to file reports under §§ 240.17a-5, 240.17a10, 240.17a-11, 240.17a-12, and 240.18a-7 of this chapter, as applicable.
20.
Part III of Form X-17A-5 (referenced in § 249.617 of this chapter) is revised to read as follows:
Note: The text of Part III of Form X-17A-5 does not and this amendment will not appear in the Code of
Federal Regulations.
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21.
Part II of Form X-17A-5 and the instructions thereto (referenced in § 249.617 of this chapter) are
revised to read as follows:
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.
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22.
Part IIC of Form X-17A-5 and the instructions thereto (referenced in § 249.617 of this chapter)
are added to read as follows:
Note: The text of Part IIC of Form X-17A-5 and the instructions thereto will not appear in the Code of
Federal Regulations.
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| File Type | application/pdf |
| File Title | Final Rule: Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, an |
| Subject | 17 CFR Parts 200, 240, and 249, Release No. 34-87005, File No. S7-05-14, RIN 3235-AL45, Date: 2019-09-18 |
| Author | U.S. Securities and Exchange Commission |
| File Modified | 2021-04-19 |
| File Created | 2019-10-11 |