§ 23.203. Records; retention and inspection.
319 words·~1 min read·
/us/cfr/t17/s§ 23.203·A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
(a)Location of records---(1) Records. All records required to be kept by a swap dealer or major swap participant by the Act and by Commission regulations shall be kept at the principal place of business of the swap dealer or major swap participant or such other principal office as shall be designated by the swap dealer or major swap participant. If the principal place of business is outside of the United States, its territories or possessions, then upon the request of a Commission representative, the swap dealer or major swap participant must provide such records as requested at the place in the United States, its territories, or possessions designated by the representative within 72 hours after receiving the request.
(2)Contact information. Each swap dealer and major swap participant shall maintain for each of its offices a listing, by name or title, of each person at that office who, without delay, can explain the types of records the swap dealer or major swap participant maintains at that office and the information contained in those records. ``` ```
(b)Record retention.
(1)The records required to be maintained by this chapter shall be maintained in accordance with the provisions of § 1.31 of this chapter, except as provided in paragraph (b)(3) of this section. All such records shall be open to inspection by any representative of the Commission, the United States Department of Justice, or any applicable prudential regulator. Records relating to swaps defined in section 1a(47)(A)(v) shall be open to inspection by any representative of the Commission, the United States Department of Justice, the Securities and Exchange Commission, or any applicable prudential regulator.
(2)\[Reserved\]
(3)Records of any swap data reported in accordance with part 45 of this chapter shall be maintained in accordance with the requirements of § 45.2 of this chapter. \[77 FR 20202, Apr. 3, 2012, as amended at 82 FR 24487, May 30, 2017\]
Connections18 cite this
Cited by 18 sections
register
- Rules and RegulationsFinal rule
- Proposed RulesFinal rule
- Proposed RulesFinal rules
- NoticesFinal rule
- NoticesInterpretive Guidance and Policy Statement
- NoticesNotice of proposed rulemaking
- NoticesNotice of Comparability Determination for Certain Requirements under Swiss Financial Market Regulation
- NoticesNotice of Comparability Determination for Certain Requirements under the European Market Infrastructure Regulation
- Proposed RulesNotice of proposed rulemaking
- NoticesNotice of Comparability Determination for Certain Requirements under the Japanese Laws and Regulations
- Rules and RegulationsNotification of determination
- Proposed RulesProposed interpretation
- NoticesNotice of Comparability Determination for Certain Requirements under the European Market Infrastructure Regulation
- NoticesNotice of Comparability Determination for Certain Requirements under the Laws of Canada
- NoticesNotice of comparability determination for certain requirements under the laws of Japan
- NoticesNotice of Comparability Determination for Certain Requirements under the laws of Hong Kong
- NoticesNotice of Comparability Determination for Certain Requirements under Australian Regulation
- Rules and RegulationsNotice of comparability determination for margin requirements for uncleared swaps under the laws of Japan
Citation graph
cites case law
§ 23.203
Records; retention and inspection.
Fed. Reg.×18
Cites 0Cited by 18 across 1 source