Part 23 - SWAP DEALERS AND MAJOR SWAP PARTICIPANTS  


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.
§§ 23.23-23.40 [Reserved]
Subpart E—Capital and Margin Requirements for Swap Dealers and Major Swap Participants
§ 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.
§§ 23.100-23.149 [Reserved]
§§ 23.162-23.199 [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
§§ 23.403-23.409 [Reserved]
§§ 23.411-23.429 [Reserved]
§§ 23.435-23.439 [Reserved]
§§ 23.441-23.449 [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.
§ 23.505 End user exception documentation.
§ 23.506 Swap processing and clearing.
§§ 23.500-23.505 [Reserved]
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 margin.
§ 23.703 Investment of segregated margin.
§ 23.704 Requirements for non-segregated margin.
Appendix A—Guidance on the Application of §§23.434 and 23.440 for Swap Dealers That Make Recommendations to Counterparties or Special Entities

Source

77 FR 2628, Jan. 19, 2012, unless otherwise noted.

Authority

7 U.S.C. 1a, 2, 6, 6a, 6b, 6c, 6p, 6s, 9, 9a, 13b, 13c, 16a, 18, 19, 21 as amended by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Pub. L. 111–203, 124 Stat. 1376 (July 21, 2010).Link to an amendment published at 77 FR 9822, Feb. 17, 2012.