Home/CFR/Title 17/Part 23
FEDERAL · 17 CFR

Part 23 — Swap Dealers and Major Swap Participants

73 sections · Title 17: Commodity and Securities Exchanges

§ 23.1-23.20§§ 23.1-23.20 [Reserved]
§ 23.21Registration of swap dealers and major swap participants.
§ 23.22Prohibition against statutory disqualification in the case of an associated person of a swap dealer or major swap participant.
§ 23.23Cross-border application.
§ 23.24-23.40§§ 23.24-23.40 [Reserved]
§ 23.100Definitions applicable to capital requirements.
§ 23.101Minimum financial requirements for swap dealers and major swap participants.
§ 23.102Calculation of market risk exposure requirement and credit risk exposure requirement using internal models.
§ 23.103Calculation of market risk exposure requirement and credit risk requirement when models are not approved.
§ 23.104Equity Withdrawal Restrictions.
§ 23.105Financial recordkeeping, reporting and notification requirements for swap dealers and major swap participants.
§ 23.106Substituted compliance for swap dealer's and major swap participant's capital and financial reporting.
§ 23.107-23.149§§ 23.107-23.149 [Reserved]
§ 23.150Scope.
§ 23.151Definitions applicable to margin requirements.
§ 23.152Collection and posting of initial margin.
§ 23.153Collection and posting of variation margin.
§ 23.154Calculation of initial margin.
§ 23.155Calculation of variation margin.
§ 23.156Forms of margin.
§ 23.157Custodial arrangements.
§ 23.158Margin documentation.
§ 23.159Special rules for affiliates.
§ 23.160Cross-border application.
§ 23.161Compliance dates.
§ 23.162-23.199§§ 23.162-23.199 [Reserved]
§ 23.200Definitions.
§ 23.201Required records.
§ 23.202Daily trading records.
§ 23.203Records; retention and inspection.
§ 23.204Reports to swap data repositories.
§ 23.205Real-time public reporting.
§ 23.206Delegation of authority to the Director of the Market Participants Division to establish an alternative compliance schedule to comply with daily trading records.
§ 23.400Scope.
§ 23.401Definitions.
§ 23.402General provisions.
§ 23.403-23.409§§ 23.403-23.409 [Reserved]
§ 23.410Prohibition on fraud, manipulation, and other abusive practices.
§ 23.411-23.429§§ 23.411-23.429 [Reserved]
§ 23.430Verification of counterparty eligibility.
§ 23.431Disclosures of material information.
§ 23.432Clearing disclosures.
§ 23.433Communications—fair dealing.
§ 23.434Recommendations to counterparties—institutional suitability.
§ 23.435-23.439§§ 23.435-23.439 [Reserved]
§ 23.440Requirements for swap dealers acting as advisors to Special Entities.
§ 23.441-23.449§§ 23.441-23.449 [Reserved]
§ 23.450Requirements for swap entities acting as counterparties to Special Entities.
§ 23.451Political contributions by certain swap dealers.
§ 23.500Definitions.
§ 23.501Swap confirmation.
§ 23.502Portfolio reconciliation.
§ 23.503Portfolio compression.
§ 23.504Swap trading relationship documentation.
§ 23.505End user exception documentation.
§ 23.506Swap processing and clearing.
§ 23.600Risk Management Program for swap dealers and major swap participants.
§ 23.601Monitoring of position limits.
§ 23.602Diligent supervision.
§ 23.603Business continuity and disaster recovery.
§ 23.604§ 23.604 [Reserved]
§ 23.605Conflicts of interest policies and procedures.
§ 23.606General information: availability for disclosure and inspection.
§ 23.607Antitrust considerations.
§ 23.608Restrictions on counterparty clearing relationships.
§ 23.609Clearing member risk management.
§ 23.610Clearing member acceptance for clearing.
§ 23.611Delegation 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.
§ 23.700Definitions.
§ 23.701Notification of right to segregation.
§ 23.702Requirements for segregated initial margin.
§ 23.703Investment of segregated initial margin.
§ 23.704Requirements for non-segregated margin.