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CFTC Rule 23.203

Requires swap dealers and major swap participants to retain records at the principal place of business or designated principal office. These must be supplied within 72 hours of receiving a request for their production from the CFTC.

Rule Overview

Jurisdiction: United States

Regulator: CFTC

Topic: Recordkeeping

Overview
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Further Reading

The rule requires that each office keeps a list, by name or title, of each person who can explain the types of records maintained in the office and the information contained in those records.

The records must be maintained in accordance with CFTC Rule 1.31

Swap data records must be maintained in accordance with CFTC Rule 45.2

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Further Reading

ReedSmith CFTC recordkeeping requirements overview Go to https://www.reedsmith.com/en/perspectives/2017/06/an-overview-of-the-cftcs-modernized-recordkeeping-requirements ECFR Title 17 Rule 1.31 Go to https://www.ecfr.gov/current/title-17/chapter-I/part-1/subject-group-ECFR26e2c365a191fa7/section-1.31 ECFR Title 17 Rule 45.2 Go to https://www.ecfr.gov/current/title-17/chapter-I/part-45/section-45.2