Business Conduct Standards for Swap Dealers and Major Swap Participants Dealing With Counterparties, Including Special Entities

  1. Law
  2. CFR 17
  3. Commodity and Securities Exchanges
  4. Commodity Futures Trading Commission
  5. Swap Dealers and Major Swap Participants
  6. Business Conduct Standards for Swap Dealers and Major Swap Participants Dealing With Counterparties, Including Special Entities

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Section
23.400

Scope.

Section
23.401

Definitions.

Section
23.402

General provisions.

Sections
23.403-23.409

§§ 23.403-23.409 [Reserved]

Section
23.410

Prohibition on fraud, manipulation, and other abusive practices.

Appendix
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

Sections
23.411-23.429

§§ 23.411-23.429 [Reserved]

Section
23.430

Verification of counterparty eligibility.

Section
23.431

Disclosures of material information.

Section
23.432

Clearing disclosures.

Section
23.433

Communications - fair dealing.

Section
23.434

Recommendations to counterparties - institutional suitability.

Sections
23.435-23.439

§§ 23.435-23.439 [Reserved]

Section
23.440

Requirements for swap dealers acting as advisors to Special Entities.

Sections
23.441-23.449

§§ 23.441-23.449 [Reserved]

Section
23.450

Requirements for swap dealers and major swap participants acting as counterparties to Special Entities.

Section
23.451

Political contributions by certain swap dealers.