Title 17, Part 23 — Swap Dealers and Major Swap Participants

§§ 23.1-23.20 [Reserved]

Registration of swap dealers and major swap participants.

Prohibition against statutory disqualification in the case of an associated person of a swap dealer or major swap participant.

Cross-border application.

§§ 23.24-23.40 [Reserved]

Definitions applicable to capital requirements.

Minimum financial requirements for swap dealers and major swap participants.

Calculation of market risk exposure requirement and credit risk exposure requirement using internal models.

Calculation of market risk exposure requirement and credit risk requirement when models are not approved.

Equity Withdrawal Restrictions.

Financial recordkeeping, reporting and notification requirements for swap dealers and major swap participants.

Substituted compliance for swap dealer's and major swap participant's capital and financial reporting.

§§ 23.107-23.149 [Reserved]

Scope.

Definitions applicable to margin requirements.

Collection and posting of initial margin.

Collection and posting of variation margin.

Calculation of initial margin.

Calculation of variation margin.

Forms of margin.

Custodial arrangements.

Margin documentation.

Special rules for affiliates.

Cross-border application.

Compliance dates.

§§ 23.162-23.199 [Reserved]

Definitions.

Required records.

Daily trading records.

Records; retention and inspection.

Reports to swap data repositories.

Real-time public reporting.

Delegation of authority to the Director of the Market Participants Division to establish an alternative compliance schedule to comply with daily trading records.

Scope.

Definitions.

General provisions.

§§ 23.403-23.409 [Reserved]

Prohibition on fraud, manipulation, and other abusive practices.

§§ 23.411-23.429 [Reserved]

Verification of counterparty eligibility.

Disclosures of material information.

Clearing disclosures.

Communications—fair dealing.

Recommendations to counterparties—institutional suitability.

§§ 23.435-23.439 [Reserved]

Requirements for swap dealers acting as advisors to Special Entities.

§§ 23.441-23.449 [Reserved]

Requirements for swap entities acting as counterparties to Special Entities.

Political contributions by certain swap dealers.

Definitions.

Swap confirmation.

Portfolio reconciliation.

Portfolio compression.

Swap trading relationship documentation.

End user exception documentation.

Swap processing and clearing.

Risk Management Program for swap dealers and major swap participants.

Monitoring of position limits.

Diligent supervision.

Business continuity and disaster recovery.

[Reserved]

Conflicts of interest policies and procedures.

General information: availability for disclosure and inspection.

Antitrust considerations.

Restrictions on counterparty clearing relationships.

Clearing member risk management.

Clearing member acceptance for clearing.

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.

Definitions.

Notification of right to segregation.

Requirements for segregated initial margin.

Investment of segregated initial margin.

Requirements for non-segregated margin.