Part 23 — Swap Dealers and Major Swap Participants
Subpart B — Registration
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.
- § 23.150— 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.
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.
- § 23.410— 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 entities acting as counterparties to Special Entities.
- § 23.451— Political contributions by certain swap dealers.
Subpart I — Swap Documentation
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.
- § 23.605— 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.