# 17 CFR § 1.7: Books and records requirements for security-based swap agreements

> Federal · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/ecfr-17-1.7

## Section

- **Citation:** 17 CFR § 1.7
- **Heading:** Books and records requirements for security-based swap agreements
- **Jurisdiction:** Federal
- **Kind:** Regulations
- **Status:** In force
- **Text as of:** September 22, 2026
- **Source:** Publisher's official text
- **Location:** Title 17—Commodity and Securities Exchanges > CHAPTER I—COMMODITY FUTURES TRADING COMMISSION > PART 1—GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT > Definitions

## Text

(a) A person registered as a swap data repository under section 21 of the Commodity Exchange Act and the rules and regulations thereunder:
(1) Shall not be required to keep and maintain additional books and records regarding security-based swap agreements other than the books and records regarding swaps required to be kept and maintained pursuant to section 21 of the Commodity Exchange Act and the rules and regulations thereunder; and
(2) Shall not be required to collect and maintain additional data regarding security-based swap agreements other than the data regarding swaps required to be collected and maintained by such persons pursuant to section 21 of the Commodity Exchange Act and the rules and regulations thereunder.
(b) A person shall not be required to keep and maintain additional books and records, including daily trading records, regarding security-based swap agreements other than the books and records regarding swaps required to be kept and maintained by such persons pursuant to section 4s of the Commodity Exchange Act and the rules and regulations thereunder if such person is registered as:
(1) A swap dealer under section 4s(a)(1) of the Commodity Exchange Act and the rules and regulations thereunder;
(2) A major swap participant under section 4s(a)(2) of the Commodity Exchange Act and the rules and regulations thereunder;
(3) A security-based swap dealer under section 15F(a)(1) of the Securities Exchange Act of 1934 (15 U.S.C. 78o-10(a)(1)) and the rules and regulations thereunder; or
(4) a major security-based swap participant under section 15F(a)(2) of the Securities Exchange Act of 1934 (15 U.S.C. 78o-10(a)(2)) and the rules and regulations thereunder.
(c) The term security-based swap agreement has the meaning set forth in section 1a(47)(A)(v) of the Commodity Exchange Act.
[77 FR 48354, Aug. 13, 2012]

## Nearby sections

- [17 CFR § 1.2 § 1.2 Liability of principal for act of agent.](https://www.frixlaw.com/law-library/statutes/ecfr-17-1.2.md)
- [17 CFR § 1.3 § 1.3 Definitions.](https://www.frixlaw.com/law-library/statutes/ecfr-17-1.3.md)
- [17 CFR § 1.4 § 1.4 Electronic signatures, acknowledgments and verifications.](https://www.frixlaw.com/law-library/statutes/ecfr-17-1.4.md)
- [17 CFR § 1.6 § 1.6 Anti-evasion.](https://www.frixlaw.com/law-library/statutes/ecfr-17-1.6.md)
- [17 CFR § 1.7 § 1.7 Books and records requirements for security-based swap agreements.](https://www.frixlaw.com/law-library/statutes/ecfr-17-1.7.md)
- [17 CFR § 1.8 § 1.8 Requests for interpretation of swaps, security-based swaps, and mixed swaps.](https://www.frixlaw.com/law-library/statutes/ecfr-17-1.8.md)
- [17 CFR § 1.9 § 1.9 Regulation of mixed swaps.](https://www.frixlaw.com/law-library/statutes/ecfr-17-1.9.md)
- [17 CFR § 1.10 § 1.10 Financial reports of futures commission merchants and introducing brokers.](https://www.frixlaw.com/law-library/statutes/ecfr-17-1.10.md)
- [17 CFR § 1.11 § 1.11 Risk Management Program for futures commission merchants.](https://www.frixlaw.com/law-library/statutes/ecfr-17-1.11.md)
- [17 CFR § 1.12 § 1.12 Maintenance of minimum financial requirements by futures commission merchants and introducing brokers.](https://www.frixlaw.com/law-library/statutes/ecfr-17-1.12.md)
- [17 CFR § 1.14 § 1.14 Risk assessment recordkeeping requirements for futures commission merchants.](https://www.frixlaw.com/law-library/statutes/ecfr-17-1.14.md)
- [17 CFR § 1.15 § 1.15 Risk assessment reporting requirements for futures commission merchants.](https://www.frixlaw.com/law-library/statutes/ecfr-17-1.15.md)
- [17 CFR § 1.16 § 1.16 Qualifications and reports of accountants.](https://www.frixlaw.com/law-library/statutes/ecfr-17-1.16.md)
- [17 CFR § 1.17 § 1.17 Minimum financial requirements for futures commission merchants and introducing brokers.](https://www.frixlaw.com/law-library/statutes/ecfr-17-1.17.md)

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Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/ecfr-17-1.7. Check the current official text before relying on it. Not legal advice.