Title 17

PART 49 Part 49 - Swap Data Repositories

PART 49 - SWAP DATA REPOSITORIES Authority:7 U.S.C. 1a, 2(a), 6r, 12a, and 24a, as amended by Title VII of the Wall Street Reform and Consumer Protection Act of 2010, Pub. L. 111-203, 124 Stat. 1376 (Jul. 21, 2010), unless otherwise noted. Source:76 FR 54575, Sept. 1, 2011, unless otherwise noted. Editorial Note:Nomenclature changes to part 49 appear at 85 FR 75672, Nov. 25, 2020.

Authority: 7 U.S.C. 1a, 2(a), 6r, 12a, and 24a, as amended by Title VII of the Wall Street Reform and Consumer Protection Act of 2010, Pub. L. 111-203, 124 Stat. 1376 (Jul. 21, 2010), unless otherwise noted.
Source: 76 FR 54575, Sept. 1, 2011, unless otherwise noted.

17:2.0.1.1.8.0.1.1	SECTION 49.1	49.1 Scope.
17:2.0.1.1.8.0.1.2	SECTION 49.2	49.2 Definitions.
17:2.0.1.1.8.0.1.3	SECTION 49.3	49.3 Procedures for registration.
17:2.0.1.1.8.0.1.4	SECTION 49.4	49.4 Withdrawal from registration.
17:2.0.1.1.8.0.1.5	SECTION 49.5	49.5 Equity interest transfers.
17:2.0.1.1.8.0.1.6	SECTION 49.6	49.6 Request for transfer of registration.
17:2.0.1.1.8.0.1.7	SECTION 49.7	49.7 Swap data repositories located in foreign jurisdictions.
17:2.0.1.1.8.0.1.8	SECTION 49.8	49.8 Procedures for implementing swap data repository rules.
17:2.0.1.1.8.0.1.9	SECTION 49.9	49.9 Open swaps reports provided to the Commission.
17:2.0.1.1.8.0.1.10	SECTION 49.10	49.10 Acceptance and validation of data.
17:2.0.1.1.8.0.1.11	SECTION 49.11	49.11 Verification of swap data accuracy.
17:2.0.1.1.8.0.1.12	SECTION 49.12	49.12 Swap data repository recordkeeping requirements.
17:2.0.1.1.8.0.1.13	SECTION 49.13	49.13 Monitoring, screening and analyzing swap data.
17:2.0.1.1.8.0.1.14	SECTION 49.14	49.14 Monitoring, screening and analyzing end-user clearing exemption claims by individual and affiliated entities.
17:2.0.1.1.8.0.1.15	SECTION 49.15	49.15 Real-time public reporting by swap data repositories.
17:2.0.1.1.8.0.1.16	SECTION 49.16	49.16 Privacy and confidentiality requirements of swap data repositories.
17:2.0.1.1.8.0.1.17	SECTION 49.17	49.17 Access to SDR data.
17:2.0.1.1.8.0.1.18	SECTION 49.18	49.18 Confidentiality arrangement.
17:2.0.1.1.8.0.1.19	SECTION 49.19	49.19 Core principles applicable to swap data repositories.
17:2.0.1.1.8.0.1.20	SECTION 49.20	49.20 Governance arrangements (Core Principle 2).
17:2.0.1.1.8.0.1.21	SECTION 49.21	49.21 Conflicts of interest (Core Principle 3).
17:2.0.1.1.8.0.1.22	SECTION 49.22	49.22 Chief compliance officer.
17:2.0.1.1.8.0.1.23	SECTION 49.23	49.23 Emergency authority policies and procedures.
17:2.0.1.1.8.0.1.24	SECTION 49.24	49.24 System safeguards.
17:2.0.1.1.8.0.1.25	SECTION 49.25	49.25 Financial resources.
17:2.0.1.1.8.0.1.26	SECTION 49.26	49.26 Disclosure requirements of swap data repositories.
17:2.0.1.1.8.0.1.27	SECTION 49.27	49.27 Access and fees.
17:2.0.1.1.8.0.1.28	SECTION 49.28	49.28 Operating hours of swap data repositories.
17:2.0.1.1.8.0.1.29	SECTION 49.29	49.29 Information relating to swap data repository compliance.
17:2.0.1.1.8.0.1.30	SECTION 49.30	49.30 Form and manner of reporting and submitting information to the Commission.
17:2.0.1.1.8.0.1.31	SECTION 49.31	49.31 Delegation of authority to the Director of the Division of Market Oversight relating to certain part 49 matters.
17:2.0.1.1.8.0.1.32.11	APPENDIX Appendix A	Appendix A to Part 49 - Form SDR
17:2.0.1.1.8.0.1.32.12	APPENDIX Appendix B	Appendix B to Part 49 - Confidentiality Arrangement for Appropriate Domestic Regulators and Appropriate Foreign Regulators to Obtain Access to Swap Data Maintained by Swap Data Respositories Pursuant to §§ 49.17(d)(6) and 49.18(a)