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Tuesday, August 31, 2021 - Amended Financial Requirement Section 18 - Swap Dealer and Major Swap Participant Financial Requirements. An explanation of the amended financial requirement can be found in the August 31, 2021 rule submission letter.
Part 200. Registration Requirements and Procedures
RULE 201. REGISTRATION REQUIREMENTS AND PROCEDURES.
[Adopted effective April 4, 1988. Effective dates of amendments: August 3, 1990; April 26, 1993; September 21, 1993; August 1, 1994; June 30, 1998; September 7, 1998; January 6, 1999; September 17, 1999; May 31, 2002; July 18, 2012; July 9, 2013; March 21, 2014; September 15, 2017; and October 6, 2021.]
Except as otherwise provided in the Rules, NFA shall perform registration functions in accordance with the provisions set forth in these Rules for all persons, except Swap Dealers (SD) and Major Swap Participants (MSP) and principals of SDs and MSPs for whom it has been granted registration responsibilities pursuant to Section 8a(10) or Section 17(o) of the Act. Except as provided below, NFA shall perform registration functions with respect to SDs and MSPs and principals of SDs and MSPs in accordance with all of the Regulations governing the registration contained in Part 3 of the Commission's Regulations and CFTC Regulation 23.101(c).