17 CFR Subpart H
Business Conduct Standards for Swap Dealers and Major Swap Participants Dealing With Counterparties, Including Special Entities
April 15, 2021
§
23.400
Scope
§
23.401
Definitions
§
23.402
General provisions
§
§23.403-23.409
[Reserved]
§
23.410
Prohibition on fraud, manipulation, and other abusive practices
§
§23.411-23.429
[Reserved]
§
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
§
§23.435-23.439
[Reserved]
§
23.440
Requirements for swap dealers acting as advisors to Special Entities
§
§23.441-23.449
[Reserved]
§
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
Tried the LawStack mobile app?
Join thousands and try LawStack mobile for FREE today.
- Carry the law offline, wherever you go.
- Download CFR, USC, rules, and state law to your mobile device.
