[Federal Register: November 12, 1998 (Volume 63, Number 218)] [Rules and Regulations] [Page 63143-63171] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr12no98-11] ======================================================================= ----------------------------------------------------------------------- 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