{"abstract":"The Securities and Exchange Commission (\"Commission\") is adopting amendments to the recordkeeping rules applicable to broker- dealers, security-based swap dealers, and major security-based swap participants. The amendments modify requirements regarding the maintenance and preservation of electronic records, the use of third- party recordkeeping services to hold records, and the prompt production of records. The Commission also is designating broker-dealer examining authorities as Commission designees for purposes of certain provisions of the broker-dealer record maintenance and preservation rule.","action":"Final rule.","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"body_html_url":"https://www.federalregister.gov/documents/full_text/html/2022/11/03/2022-22670.html","cfr_references":[{"chapter":null,"citation_url":null,"part":240,"title":17}],"citation":"87 FR 66412","comment_url":null,"comments_close_on":null,"correction_of":null,"corrections":[],"dates":"Effective date: January 3, 2023.","disposition_notes":null,"docket_ids":["Release No. 34-96034","File No. S7-19-21"],"dockets":[],"document_number":"2022-22670","effective_on":"2023-01-03","end_page":66452,"executive_order_notes":null,"executive_order_number":null,"explanation":null,"full_text_xml_url":"https://www.federalregister.gov/documents/full_text/xml/2022/11/03/2022-22670.xml","html_url":"https://www.federalregister.gov/documents/2022/11/03/2022-22670/electronic-recordkeeping-requirements-for-broker-dealers-security-based-swap-dealers-and-major","images":{},"images_metadata":{},"json_url":"https://www.federalregister.gov/api/v1/documents/2022-22670?publication_date=2022-11-03","mods_url":"https://www.govinfo.gov/metadata/granule/FR-2022-11-03/2022-22670/mods.xml","not_received_for_publication":null,"page_length":41,"page_views":{"count":5161,"last_updated":"2026-04-04 02:15:03 -0400"},"pdf_url":"https://www.govinfo.gov/content/pkg/FR-2022-11-03/pdf/2022-22670.pdf","presidential_document_number":null,"proclamation_number":null,"public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2022-22670.pdf?1667393121","publication_date":"2022-11-03","raw_text_url":"https://www.federalregister.gov/documents/full_text/text/2022/11/03/2022-22670.txt","regulation_id_number_info":{"3235-AM76":{"issue":"202210","html_url":"https://www.federalregister.gov/regulations/3235-AM76/electronic-recordkeeping-requirements-for-broker-dealers-and-security-based-swap-dealers-and-major-s","title":"Electronic Recordkeeping Requirements for Broker-Dealers and Security-Based Swap Dealers and Major Security-Based Swap Participants","xml_url":"http://www.reginfo.gov/public/do/eAgendaViewRule?pubId=202210&RIN=3235-AM76&operation=OPERATION_EXPORT_XML","priority_category":"Substantive, Nonsignificant"}},"regulation_id_numbers":["3235-AM76"],"regulations_dot_gov_info":{"comments_count":0,"agency_id":"SEC","document_id":"SEC-2022-1424-0001","checked_regulationsdotgov_at":"2023-02-28T01:02:19Z"},"regulations_dot_gov_url":null,"significant":false,"signing_date":null,"start_page":66412,"subtype":null,"title":"Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants","toc_doc":"Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants","toc_subject":null,"topics":["Brokers","Confidential business information","Fraud","Reporting and recordkeeping requirements","Securities"],"type":"Rule","volume":87}