e-CFR data is current as of November 20, 2020
TITLE 17—Commodity and Securities Exchanges
CHAPTER I—COMMODITY FUTURES TRADING COMMISSION PART 23—SWAP DEALERS AND MAJOR SWAP PARTICIPANTS
Subpart A—[RESERVED]
Subpart B—REGISTRATION
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| Registration of swap dealers and major swap participants. |
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| Prohibition against statutory disqualification in the case of an associated person of a swap dealer or major swap participant. |
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| Cross-border application. |
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Subpart E—CAPITAL AND MARGIN REQUIREMENTS FOR SWAP DEALERS AND MAJOR SWAP PARTICIPANTS
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| Definitions applicable to capital requirements. |
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| Minimum financial requirements for swap dealers and major swap participants. |
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| Calculation of market risk exposure requirement and credit risk exposure requirement using internal models |
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| Calculation of market risk exposure requirement and credit risk requirement when models are not approved. |
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| Equity Withdrawal Restrictions. |
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| Financial recordkeeping, reporting and notification requirements for swap dealers and major swap participants. |
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| Substituted compliance for swap dealer's and major swap participant's capital and financial reporting. |
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| Definitions applicable to margin requirements. |
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| Collection and posting of initial margin. |
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| Collection and posting of variation margin. |
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| Calculation of initial margin. |
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| Calculation of variation margin. |
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| Special rules for affiliates. |
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| Cross-border application. |
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| Appendix C to Subpart E of Part 23—Financial Reports and Specific Position Information for Swap Dealers and Major Swap Participants Subject to the Capital Requirements of a Prudential Regulator |
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Subpart F—REPORTING, RECORDKEEPING, AND DAILY TRADING RECORDS REQUIREMENTS FOR SWAP DEALERS AND MAJOR SWAP PARTICIPANTS
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| Records; retention and inspection. |
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| Reports to swap data repositories. |
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| Real-time public reporting. |
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| 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. |
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Subpart H—BUSINESS CONDUCT STANDARDS FOR SWAP DEALERS AND MAJOR SWAP PARTICIPANTS DEALING WITH COUNTERPARTIES, INCLUDING SPECIAL ENTITIES
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| Prohibition on fraud, manipulation, and other abusive practices. |
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| Verification of counterparty eligibility. |
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| Disclosures of material information. |
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| Communications—fair dealing. |
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| Recommendations to counterparties—institutional suitability. |
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| Requirements for swap dealers acting as advisors to Special Entities. |
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| Requirements for swap dealers and major swap participants acting as counterparties to Special Entities. |
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| Political contributions by certain swap dealers. |
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Subpart I—SWAP DOCUMENTATION
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| Portfolio reconciliation. |
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| Swap trading relationship documentation. |
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| End user exception documentation. |
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| Swap processing and clearing. |
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Subpart J—DUTIES OF SWAP DEALERS AND MAJOR SWAP PARTICIPANTS
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| Risk Management Program for swap dealers and major swap participants. |
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| Monitoring of position limits. |
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| Business continuity and disaster recovery. |
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| Conflicts of interest policies and procedures. |
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| General information: availability for disclosure and inspection. |
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| Antitrust considerations. |
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| Restrictions on counterparty clearing relationships. |
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| Clearing member risk management. |
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| Clearing member acceptance for clearing. |
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| 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. |
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Subpart K—[RESERVED]
Subpart L—SEGREGATION OF ASSETS HELD AS COLLATERAL IN UNCLEARED SWAP TRANSACTIONS
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| Notification of right to segregation. |
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| Requirements for segregated initial margin. |
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| Investment of segregated initial margin. |
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| Requirements for non-segregated margin. |
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