On October 6, 2021, EDGAR Release 21.3.1 will introduce the following changes for Form X-17A-5 Part III:

• Updated the sample XML file under Section 2.1 to reflect the latest schema changes
• Updated Section 3.4 with the following changes:
  • Added new element confirming008CopyNumber
  • Added new element confirming026CopyNumber
  • Added new element typeOfBDRegistrant
  • Added new element typeOfSDRegistrant
  • Added the following new choice list options
    • REGISTRANT_BD_TYPE
    • REGISTRANT_SD_TYPE
    • SUB_REGISTRANT_BD_TYPE
• Updated Section 4 to include the following new Data Value Constraints
  • REGISTRANT_BD_TYPE
  • REGISTRANT_SD_TYPE
  • SUB_REGISTRANT_BD_TYPE
• Updated Section 4.3 REGISTRANT_BD_TYPE with the following option
  • Broker-dealer
• Updated Section 4.4 REGISTRANT_SD_TYPE with the following options
  • Security-based swap dealer
  • Major security-based swap participant
• Updated Section 4.5 SUB_REGISTRANT_BD_TYPE with the following options
  • OTC derivatives dealer
• Updated Section 4.7 SUB_DOCUMENT_TYPE to remove the entire document types except for document type “FULL”.
• Updated Section 5.2.1 with the appropriate document types and sample after removing the entire document types except for document type “FULL”.

For more information, see the updated “Form X-17A-5 XML Technical Specification (Version 6)” document available on sec.gov (https://www.sec.gov/info/edgar/tech-specs).

If you have any questions, please contact Filer Support at (202) 551-8900 (Option 3).