17 CFR Part 23
PART 23—SWAP DEALERS AND MAJOR SWAP PARTICIPANTS
- PART 23—SWAP DEALERS AND MAJOR SWAP PARTICIPANTS
- Chapter I—Commodity Futures Trading Commission
- Subpart A [Reserved]
- §§ 23.1-23.20 [Reserved]
- 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 Cross-border application.
- §§ 23.24-23.40 [Reserved]
- Subpart E—Capital and Margin Requirements for Swap Dealers and Major Swap Participants
- § 23.100 Definitions applicable to capital requirements.
- § 23.101 Minimum financial requirements for swap dealers and major swap participants.
- § 23.102 Calculation of market risk exposure requirement and credit risk exposure requirement using internal models.
- § 23.103 Calculation of market risk exposure requirement and credit risk requirement when models are not approved.
- § 23.104 Equity Withdrawal Restrictions.
- § 23.105 Financial recordkeeping, reporting and notification requirements for swap dealers and major swap participants.
- § 23.106 Substituted compliance for swap dealer's and major swap participant's capital and financial reporting.
- §§ 23.107-23.149 [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]
- Appendix A to Subpart E of Part 23—Application for Internal Models To Compute Market Risk Exposure Requirement and Credit Risk Exposure Requirement
- Appendix B to Subpart E of Part 23—Swap Dealer and Major Swap Participant Position Information
- Appendix C to Subpart E of Part 23—Specific Position Information for Swap Dealers and Major Swap Participants Subjects to the Capital Requirements of a Prudential Regulator
- 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 Market Participants Division to establish an alternative compliance schedule to comply with daily trading records.
- 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 entities acting as counterparties to Special Entities.
- § 23.451 Political contributions by certain swap dealers.
- 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
- 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.
- Part 23, Subpart I, Appendix 1—Exhibits A-D
- 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.
- Subpart K [Reserved]
- 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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