Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers

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 adopting 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 making substituted compliance available with respect to recordkeeping, reporting, and notification requirements under Section 15F of the Exchange Act and the rules thereunder.