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Swap Dealers and Major Swap Participants
Risk Exposure Reports, Valuation Dispute Reports, and CCO Annual Reports

Commission Regulation 3.3(f) requires that each SD and MSP furnish electronically to the Commission a copy of the Annual Report of the SD’s or MSP’s Chief Compliance Officer not more than 90 days after the end of the fiscal year of the SD or MSP.

Commission Regulation 23.502(c) requires that each SD and MSP promptly notify the Commission of any swap valuation dispute in excess of $20,000,000 (or its equivalent in any other currency), if not resolved within the time frames set forth in the Regulation.

Commission Regulation 23.600(c)(2)(ii) requires that each SD and MSP furnish copies of its Risk Exposure Reports to the Commission within five (5) business days of providing such reports to its senior management.

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Section 1 Tell Us About Yourself

Section 2 File Attachments

Section 3 Conclusion

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