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Federal Register / Vol. 86, No. 228 / Wednesday, December 1, 2021 / Proposed Rules
lotter on DSK11XQN23PROD with PROPOSALS2

iv Organize and maintain information necessary to locate records maintained by the electronic recordkeeping system; and vA Have in place an auditable system of controls that records, among other things: 1 Each input, alteration, or deletion of a record;
2 The names of individuals inputting, altering, or deleting a record;
and 3 The date and time such individuals input, altered, or deleted the record;
B At all times be able to produce a record of the results of the audit of the system of controls for examination by the staffs of the Commission or any State regulator having jurisdiction over the security-based swap dealer or major security-based swap participant; and C Preserve the record of the results of the audit of the system of controls for the retention period required for the associated records;
vi Maintain, keep current, and provide promptly upon request by the staffs of the Commission or any State regulator having jurisdiction over the security-based swap dealer or major security-based swap participant all information necessary to access and locate records preserved by means of the electronic recordkeeping system; and vii Have at all times a senior officer of the security-based swap dealer or major security-based swap participant hereinafter, the undersigned, who has independent access to and the ability to provide records maintained and preserved on the electronic recordkeeping system, file with the Commission the following undertakings with respect to such records:

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The undersigned hereby undertakes to furnish promptly to the U.S. Securities and Exchange Commission Commission and its designees or representatives, or any State securities regulator having jurisdiction over Name of the Security-Based Swap Dealer or Major Security-Based Swap Participant, upon reasonable request, such information as is deemed necessary by the staff of the Commission or any State regulator having jurisdiction over Name of the Security-Based Swap Dealer or Major Security-Based Swap Participant, to download copies of a record and its audit trail if applicable preserved by means of an electronic recordkeeping system of Name of the Security-Based Swap Dealer or Major Security-Based Swap Participant into both a human readable format and a reasonably usable electronic format in the event of a failure on the part of Name of the Security-Based Swap Dealer or Major Security-Based Swap Participant to download a requested record or its audit trail if applicable.
Furthermore, the undersigned hereby undertakes to take reasonable steps to provide access to the information preserved by means of an electronic recordkeeping system of Name of the Security-Based Swap Dealer or Major Security-Based Swap Participant, including, as appropriate, downloading any record required to be maintained and preserved by Name of the Security-Based Swap Dealer or Major Security-Based Swap Participant pursuant to 240.18a5 and 240.18a6 in a format acceptable to the staff of the Commission or any State regulator having jurisdiction over Name of the Security-Based Swap Dealer or Major Security-Based Swap Participant.
Specifically, the undersigned will take reasonable steps that, in the event of a failure on the part of Name of the Security-Based Swap Dealer or Major Security-Based Swap Participant to download the record into a human readable format or a reasonably usable electronic format and after reasonable notice to Name of the Security-Based Swap
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Dealer or Major Security-Based Swap Participant, the undersigned will download the record into a human readable format or a reasonably usable electronic format at the request of the staff of the Commission or any State regulator having jurisdiction Name of the Security-Based Swap Dealer or Major Security-Based Swap Participant.

g Every security-based swap dealer and major security-based swap participant subject to this section must furnish promptly to a representative of the Commission legible, true, complete, and current copies of those records of the security-based swap dealer or major security-based swap participant that are required to be preserved under this section, or any other records of the security-based swap dealer or major security-based swap participant subject to examination or required to be made or maintained pursuant to section 15F
of the Act that are requested by a representative of the Commission. The security-based swap dealer and major security-based swap participant must furnish a record and its audit trail if applicable preserved on an electronic recordkeeping system pursuant to paragraph e of this section in a reasonably usable electronic format, if requested by a representative of the Commission.

By the Commission.
Dated: November 18, 2021.
Matthew DeLesDernier, Assistant Secretary.
FR Doc. 202125840 Filed 113021; 8:45 am BILLING CODE 801101P

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