[Federal Register Volume 63, Number 218 (Thursday, November 12, 1998)]
[Rules and Regulations]
[Pages 63143-63171]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-30248]
=======================================================================
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
17 CFR Parts 200, 240, 249
[Release No. 34-40594A; File No. S7-30-97]
RIN 3235-AH16
OTC Derivatives Dealers; Correction
AGENCY: Securities and Exchange Commission.
ACTION: Correction to final regulation.
-----------------------------------------------------------------------
SUMMARY: This document contains a correction to final regulations (34-
40594), which were published Tuesday, November 3, 1998, (63 FR 59362).
The regulations establish a new regulatory framework under the
Securities Exchange Act of 1934 that tailor capital, margin, and other
broker-dealer regulatory requirements to a class of registered dealers,
called OTC derivatives dealers, that are active in over-the-counter
derivatives markets.
EFFECTIVE DATE: January 4, 1999.
FOR FURTHER INFORMATION CONTACT: Michael Macchiaroli, Associate
Director, at (202) 942-0132, Thomas K. McGowan, Assistant Director, at
(202) 942-0177, or Christopher M. Salter, Attorney, at (202) 942-0148,
Division of Market Regulation, Securities and Exchange Commission, 450
Fifth Street, N.W., Mail Stop 10-1, Washington, DC 20549.
SUPPLEMENTARY INFORMATION:
I. Background
The final regulations that are the subject of these corrections
supersede Part IIB of Form X-17A-5 on the effective date and effect OTC
derivatives dealers required to file Part IIB of Form X-17A-5 pursuant
to Securities Exchange Act Rule 17a-12 (17 CFR 240.17a-12).
II. Need for Correction
As published the final regulations contain errors which may prove
to be misleading and are in need of clarification.
III. Correction of Publication
Accordingly, the publication on November 3, 1998 of final
regulations (34-40594), which were the subject of FR Doc. 98-29007, is
corrected as follows:
Part IIB of Form X-17A-5 (referenced in Sec. 249.617) which was
published beginning on page 59407 and ending on page 59434 is corrected
to read as follows:
* * * * *
Dated: November 5, 1998.
By the Commission.
Jonathan G. Katz,
Secretary.
[[Page 63144]]
[GRAPHIC] [TIFF OMITTED] TR12NO98.001
[[Page 63145]]
[GRAPHIC] [TIFF OMITTED] TR12NO98.002
[[Page 63146]]
[GRAPHIC] [TIFF OMITTED] TR12NO98.003
[[Page 63147]]
[GRAPHIC] [TIFF OMITTED] TR12NO98.004
[[Page 63148]]
[GRAPHIC] [TIFF OMITTED] TR12NO98.005
[[Page 63149]]
[GRAPHIC] [TIFF OMITTED] TR12NO98.006
[[Page 63150]]
[GRAPHIC] [TIFF OMITTED] TR12NO98.007
[[Page 63151]]
[GRAPHIC] [TIFF OMITTED] TR12NO98.008
[[Page 63152]]
[GRAPHIC] [TIFF OMITTED] TR12NO98.009
[[Page 63153]]
[GRAPHIC] [TIFF OMITTED] TR12NO98.010
[[Page 63154]]
[GRAPHIC] [TIFF OMITTED] TR12NO98.011
[[Page 63155]]
[GRAPHIC] [TIFF OMITTED] TR12NO98.012
[[Page 63156]]
[GRAPHIC] [TIFF OMITTED] TR12NO98.013
[[Page 63157]]
[GRAPHIC] [TIFF OMITTED] TR12NO98.014
[[Page 63158]]
[GRAPHIC] [TIFF OMITTED] TR12NO98.015
[[Page 63159]]
[GRAPHIC] [TIFF OMITTED] TR12NO98.016
[[Page 63160]]
[GRAPHIC] [TIFF OMITTED] TR12NO98.017
[[Page 63161]]
[GRAPHIC] [TIFF OMITTED] TR12NO98.018
[[Page 63162]]
[GRAPHIC] [TIFF OMITTED] TR12NO98.019
[[Page 63163]]
[GRAPHIC] [TIFF OMITTED] TR12NO98.020
[[Page 63164]]
[GRAPHIC] [TIFF OMITTED] TR12NO98.021
[[Page 63165]]
[GRAPHIC] [TIFF OMITTED] TR12NO98.022
[[Page 63166]]
[GRAPHIC] [TIFF OMITTED] TR12NO98.023
[[Page 63167]]
[GRAPHIC] [TIFF OMITTED] TR12NO98.024
[[Page 63168]]
[GRAPHIC] [TIFF OMITTED] TR12NO98.025
[[Page 63169]]
[GRAPHIC] [TIFF OMITTED] TR12NO98.026
[[Page 63170]]
[GRAPHIC] [TIFF OMITTED] TR12NO98.027
[[Page 63171]]
[GRAPHIC] [TIFF OMITTED] TR12NO98.028
[FR Doc. 98-30248 Filed 11-10-98; 8:45 am]
BILLING CODE 8010-01-C
