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Electronic Code of Federal Regulations

e-CFR data is current as of July 1, 2020

Title 17Chapter IPart 23


TITLE 17—Commodity and Securities Exchanges

CHAPTER I—COMMODITY FUTURES TRADING COMMISSION

PART 23—SWAP DEALERS AND MAJOR SWAP PARTICIPANTS

rule

Subpart A—[RESERVED]

§§23.1-23.20
[Reserved]
rule

Subpart B—REGISTRATION

§23.21
Registration of swap dealers and major swap participants.
§23.22
Prohibition against statutory disqualification in the case of an associated person of a swap dealer or major swap participant.
§§23.23-23.40
[Reserved]
rule

Subpart E—CAPITAL AND MARGIN REQUIREMENTS FOR SWAP DEALERS AND MAJOR SWAP PARTICIPANTS

§§23.100-23.149
[Reserved]
§23.150
Scope.
§23.151
Definitions applicable to margin requirements.
§23.152
Collection and posting of initial margin.
§23.153
Collection and posting of variation margin.
§23.154
Calculation of initial margin.
§23.155
Calculation of variation margin.
§23.156
Forms of margin.
§23.157
Custodial arrangements.
§23.158
Margin documentation.
§23.159
Special rules for affiliates.
§23.160
Cross-border application.
§23.161
Compliance dates.
§§23.162-23.199
[Reserved]
rule

Subpart F—REPORTING, RECORDKEEPING, AND DAILY TRADING RECORDS REQUIREMENTS FOR SWAP DEALERS AND MAJOR SWAP PARTICIPANTS

§23.200
Definitions.
§23.201
Required records.
§23.202
Daily trading records.
§23.203
Records; retention and inspection.
§23.204
Reports to swap data repositories.
§23.205
Real-time public reporting.
§23.206
Delegation of authority to the Director of the Division of Swap Dealer and Intermediary Oversight to establish an alternative compliance schedule to comply with daily trading records.
rule

Subpart H—BUSINESS CONDUCT STANDARDS FOR SWAP DEALERS AND MAJOR SWAP PARTICIPANTS DEALING WITH COUNTERPARTIES, INCLUDING SPECIAL ENTITIES

§23.400
Scope.
§23.401
Definitions.
§23.402
General provisions.
§§23.403-23.409
[Reserved]
§23.410
Prohibition on fraud, manipulation, and other abusive practices.
§§23.411-23.429
[Reserved]
§23.430
Verification of counterparty eligibility.
§23.431
Disclosures of material information.
§23.432
Clearing disclosures.
§23.433
Communications—fair dealing.
§23.434
Recommendations to counterparties—institutional suitability.
§§23.435-23.439
[Reserved]
§23.440
Requirements for swap dealers acting as advisors to Special Entities.
§§23.441-23.449
[Reserved]
§23.450
Requirements for swap dealers and major swap participants acting as counterparties to Special Entities.
§23.451
Political contributions by certain swap dealers.
Appendix
Appendix A to Subpart H of Part 23— Guidance on the Application of §§23.434 and 23.440 for Swap Dealers That Make Recommendations to Counterparties or Special Entities
rule

Subpart I—SWAP DOCUMENTATION

§23.500
Definitions.
§23.501
Swap confirmation.
§23.502
Portfolio reconciliation.
§23.503
Portfolio compression.
§23.504
Swap trading relationship documentation.
§23.505
End user exception documentation.
§23.506
Swap processing and clearing.
rule

Subpart J—DUTIES OF SWAP DEALERS AND MAJOR SWAP PARTICIPANTS

§23.600
Risk Management Program for swap dealers and major swap participants.
§23.601
Monitoring of position limits.
§23.602
Diligent supervision.
§23.603
Business continuity and disaster recovery.
§23.604
[Reserved]
§23.605
Conflicts of interest policies and procedures.
§23.606
General information: availability for disclosure and inspection.
§23.607
Antitrust considerations.
§23.608
Restrictions on counterparty clearing relationships.
§23.609
Clearing member risk management.
§23.610
Clearing member acceptance for clearing.
§23.611
Delegation of authority to the Director of the Division of Clearing and Risk to establish an alternative compliance schedule to comply with clearing member acceptance for clearing.
rule

Subpart K—[RESERVED]

rule

Subpart L—SEGREGATION OF ASSETS HELD AS COLLATERAL IN UNCLEARED SWAP TRANSACTIONS

§23.700
Definitions.
§23.701
Notification of right to segregation.
§23.702
Requirements for segregated initial margin.
§23.703
Investment of segregated initial margin.
§23.704
Requirements for non-segregated margin.

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