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Code of Federal Regulations (Last Updated: May 6, 2024) |
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Title 17 - Commodity and Securities Exchanges |
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Chapter I - Commodity Futures Trading Commission |
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Part 23 - Swap Dealers and Major Swap Participants |
| Subpart A - XXX |
| 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 - xxx |
| §§ 23.23--23.40 - [Reserved] |
| §§ 23.24--23.40 - [Reserved] |
| Subpart E - Capital and Margin Requirements for Swap Dealers and Major Swap Participants |
| § 23.100 - xxx |
| § 23.101 - xxx |
| § 23.102 - xxx |
| § 23.103 - xxx |
| § 23.104 - xxx |
| § 23.105 - xxx |
| § 23.106 - xxx |
| §§ 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. |
| Appendix A to Subpart E - XXX |
| Appendix B to Subpart E - XXX |
| Appendix C to Subpart E - XXX |
| 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 - Financial Reports and Specific Position Information for Swap Dealers and Major Swap Participants Subject to the Capital Requirements of a Prudential Regulator |
| §§ 23.162--23.199 - [Reserved] |
| §§ 23.107--23.149 - [Reserved] |
| 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. |
| 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. |
| § 23.410 - Prohibition on fraud, manipulation, and other abusive practices. |
| § 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. |
| § 23.440 - Requirements for swap dealers acting as advisors to Special Entities. |
| § 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 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 |
| Appendix A to Subpart H to Part 23 - Guidance on the Application of §§ 23.434 and 23.440 for Swap Dealers That Make Recommendations to Counterparties or Special Entities |
| §§ 23.411--23.429 - [Reserved] |
| §§ 23.441--23.449 - [Reserved] |
| §§ 23.403--23.409 - [Reserved] |
| §§ 23.435--23.439 - [Reserved] |
| 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. |
| §§ 23.500--23.505 - [Reserved] |
| § 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. |
| Appendix A to Subpart H - Guidance on the Application of §§ 23.434 and 23.440 for Swap Dealers That Make Recommendations to Counterparties or Special Entities |
| Subpart K - XXX |
| 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. |
| Appendix A to Part 23 - Guidance on the Application of §§23.434 and 23.440 for Swap Dealers That Make Recommendations to Counterparties or Special Entities |
| §§ 23.1--23.20 - [Reserved] |