Securities Exchange Act of 1934

The Securities Exchange Act of 1934 (SEA) created the Securities Exchange Commission (SEC). It empowers the SEC with broad authority over all aspects of the securities industry and to require companies with publicly traded securities to periodically report information.

The SEA requires security-based swap execution facilities, large traders, security-based swap dealers, major security-based swap participants to retain records. These requirements can be found in the following sections:
(1) 3D(d)(9) – Security-Based Swap Execution Facilities;
(2) 13(h)(2) – Large Traders;
(3) 13A – Security-Based Swap Dealers;
(4) 15C(f)(2) – Government Securities Brokers and Dealers; and
(5) 15F – Registration and Regulation of Security-Based Swap Dealers and Major Security-Based Swap Participants

Link to Regulation: http://legcounsel.house.gov/Comps/Securities%20Exchange%20Act%20Of%201934.pdf
Helpful Link: https://www.sec.gov/answers/about-lawsshtml.html