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Federal Register / Vol. 86, No. 111 / Friday, June 11, 2021 / Rules and Regulations
17 CFR Part 240
Administrative practice and procedure, Brokers, Confidential business information, Fraud, Reporting and recordkeeping requirements, Securities, Swaps.
17 CFR Part 249
Brokers, Recordkeeping and reporting requirements, Securities.
Accordingly, 17 CFR parts 240 and 249 are corrected by making the following correcting amendments:
PART 240GENERAL RULES AND
REGULATIONS, SECURITIES
EXCHANGE ACT OF 1934

1. The authority citation for part 240
continues to read, in part, as follows:

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Authority: 15 U.S.C. 77c, 77d, 77g, 77j, 77s, 77z2, 77z3, 77eee, 77ggg, 77nnn, 77sss, 77ttt, 78c, 78c3, 78c5, 78d, 78e, 78f, 78g, 78i, 78j, 78j1, 78k, 78k1, 78l, 78m, 78n, 78n1, 78o, 78o4, 78o10, 78p, 78q, 78q1, 78s, 78u5, 78w, 78x, 78dd, 78ll, 78mm, 80a20, 80a23, 80a29, 80a37, 80b3, 80b4, 80b11, and 7201 et seq., and 8302; 7 U.S.C. 2c2E; 12 U.S.C. 5221e3;
18 U.S.C. 1350; Pub. L. 111203, 939A, 124
Stat. 1376 2010; and Pub. L. 112106, sec.
503 and 602, 126 Stat. 326 2012, unless otherwise noted.

Section 240.17a14 is also issued under Public Law 111203, sec. 913, 124 Stat. 1376
2010.

2. Amend 240.17a4 by revising paragraphs a and l to read as follows:

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a Every member, broker or dealer subject to 240.17a3 must preserve for a period of not less than 6 years, the first two years in an easily accessible place, all records required to be made pursuant to 240.17a3a1 through 3, 5, and 21 and 22, and analogous records created pursuant to 240.17a3e.

l Records for the most recent two year period required to be made pursuant to 240.17a3f and paragraphs b4 and e7 of this section which relate to an office shall be maintained at the office to which they relate. If an office is a private residence where only one associated person or multiple associated persons who reside at that location and are members of the same immediate family regularly conducts business, and it is not held out to the public as an office nor are funds or securities of any customer of the member, broker or dealer handled there, the member, broker or dealer need not maintain records at that office, but the records must be maintained at another location within the same State as the member, broker or dealer may select.
Rather than maintain the records at each office, the member, broker or dealer may choose to produce the records promptly at the request of a representative of a securities regulatory authority at the office to which they relate or at another location agreed to by the representative.

3. Amend 240.17a12 by revising paragraph i2 to read as follows:
240.17a12 Reports to be made by certain OTC derivatives dealers.

i
2 If, during the course of the audit or interim work, the certified public accountant determines that any material inadequacies exist in the accounting system, internal accounting controls, procedures for safeguarding securities, or as otherwise defined in paragraph h2 of this section, then the certified public accountant shall call it to the attention of the chief financial officer of the OTC derivatives dealer, who shall inform the Commission by telegraphic or facsimile notice within 24 hours thereafter as set forth in 240.17a11.
The OTC derivatives dealer shall also furnish the certified public accountant with a copy of said notice to the Commission by telegram or facsimile within the same 24 hour period. If the certified public accountant fails to
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receive such notice from the OTC
derivatives dealer within that 24 hour period, or if the certified public accountant disagrees with the statements contained in the notice of the OTC derivatives dealer, the certified public accountant shall inform the Commission by report of material inadequacy within 24 hours thereafter as set forth in 240.17a-11. Such report from the certified public accountant shall, if the OTC derivatives dealer failed to file a notice, describe any material inadequacies found to exist. If the OTC derivatives dealer filed a notice, the certified public accountant shall file a report detailing the aspects, if any, of the OTC derivatives dealers notice with which the certified public accountant does not agree.

PART 249FORMS, SECURITIES
EXCHANGE ACT OF 1934
4. 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. 953b, Pub. L. 111203, 124 Stat. 1904;
Sec. 102a3, Pub. L. 112106, 126 Stat. 309
2012; Sec. 107, Pub. L. 112106, 126 Stat.
313 2012, and Sec. 72001, Pub. L. 11494, 129 Stat. 1312 2015, unless otherwise noted.

Section 249.617 is also issued under Pub.
L. 111203, 939, 939A, 124. Stat. 1376 2010
15 U.S.C. 78c, 15 U.S.C. 78o7 note.

Note: The text of Part II of Form X17A5 does not, and this amendment will not, appear in the Code of Federal Regulations.

5. Amend Part II of Form X17A5
referenced in 249.617 of this chapter by:
a. Removing 10. Market risk exposurefor Basel 2.5 firms sum of Lines 10E, 10H, 10I, 10J, 10K, 10L, 10N, and 10O

1127761"
and adding in its place 10. Market risk exposurefor Basel 2.5 firms sum of Lines 10E, 10H, 10I, 10J, 10K, 10L, 10M, 10N, and 10O

1127761".
b. Removing Total aggregate indebtedness liabilities from Statement of Financial Condition Item 1760 and adding in its place Total aggregate indebtedness liabilities from Statement of Financial Condition Item 1230.

E:FRFM11JNR1.SGM

11JNR1

ER11JN21.002

List of Subjects
240.17a4 Records to be preserved by certain exchange members, brokers and dealers.

ER11JN21.001

requirements applicable to brokerdealers to account for their securitybased swap and swap activities. Release 3487005 Sept. 19, 2019 was published in the Federal Register on Dec. 16, 2019 . This document corrects certain technical inaccuracies in that release.
DATES: Effective June 11, 2021.
FOR FURTHER INFORMATION CONTACT:
Valentina Minak Deng, Special Counsel, at 202 5515778; Division of Trading and Markets, Securities and Exchange Commission, 100 F Street NE, Washington, DC 205497010.
SUPPLEMENTARY INFORMATION: We are making technical corrections to 17 CFR
240.17a4 and 17 CFR 240.17a12
under the Securities Exchange Act of 1934, and Parts II and IIC of Form X17A5 referenced in 17 CFR
249.617. The release resulting in the technical inaccuracies 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.