ITEM 1: Electronic Recordkeeping Requirements for Broker-Dealers, Security Based Swap Dealers, and Major Security-Based Swap Participants

OFFICE: Division of Trading and Markets

STAFF: Haoxiang Zhu, David Saltiel, Andrea Orr, Michael A. Macchiaroli, Thomas K. McGowan, Randall W. Roy, Raymond Lombardo, Joseph Levinson, and Timothy C. Fox

The Commission will consider whether to adopt certain rule amendments regarding the electronic recordkeeping and prompt production of records requirements for broker-dealers, security-based swap dealers, and major-security based swap participants under the Securities Exchange Act of 1934.

For further information, please contact Randall W. Roy in the Division of Trading and Markets at (202) 551-5522.