Page 529 - 《期货和衍生品行业监管动态》（2022年合集）

期货和衍生品行业监管动态

SEC Adopts Rule Amendments to Modernize How Broker-Dealers Preserve
Electronic Records and Enhance the Electronic Recordkeeping Requirements

for Security-Based Swap Entities (2022/10/12)

The Securities and Exchange Commission today voted to adopt amendments to

the electronic recordkeeping, prompt production of records, and third-party

recordkeeping service requirements applicable to broker-dealers, security-based swap

dealers (SBSDs), and major security-based swap participants (MSBSPs). The

amendments are designed to modernize recordkeeping requirements given

technological changes over the last two decades and to make the rule adaptable to new

technologies in electronic recordkeeping. The amendments will also facilitate

examinations of broker-dealers, SBSDs, and MSBSPs.

“I am pleased to support these rule amendments because they will bring the
Commission’s electronic recordkeeping requirements for intermediaries such as

broker-dealers and security-based swap dealers in line with technological innovation,”
said SEC Chair Gary Gensler. “Since the 1930s, recordkeeping obligations have been

vital to maintain market integrity and the SEC’s work as the cop on the beat. Today’s

rule amendments will facilitate the SEC’s ability to examine and inspect records

consistent with modern technology. This will enhance the Commission’s ability to

preserve market integrity and protect investors.”

The SEC’s broker-dealer electronic recordkeeping rule currently requires firms

to preserve electronic records exclusively in a non-rewriteable, non-erasable format,

known as the write once, read many format. The amendments add an audit-trail

alternative under which electronic records can be preserved in a manner that permits

the recreation of an original record if it is altered, over-written, or erased. The

audit-trail alternative is designed to provide broker-dealers with greater flexibility in

configuring their electronic recordkeeping systems so they more closely align with
current electronic recordkeeping practices while also protecting the authenticity and

reliability of original records. The amendments apply the same requirements to

nonbank SBSDs and MSBSPs.

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