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Vol. 79 Wednesday, No. 237 December 10, 2014, Part II Department of the Treasury mstockstill on DSK4VPTVN1PROD with RULES2 17 CFR Part 420 Government Securities Act Regulations: Large Position Reporting

How to fill out 17 cfr part 420

How to fill out 17 CFR Part 420:

1. Familiarize yourself with the purpose and requirements of 17 CFR Part 420. This regulation pertains to the collection, maintenance, and reporting of certain financial and statistical information by entities engaged in the business of clearing or settling security-based swaps.
2. Gather all the necessary information and documentation to complete the required forms. This may include financial statements, transaction records, and other supporting documents.
3. Review the specific instructions provided in 17 CFR Part 420 regarding the completion of the required forms. Pay close attention to any deadlines or filing requirements.
4. Carefully fill out the designated sections of the forms, providing accurate and up-to-date information as requested. Double-check all entries for completeness and accuracy, ensuring that no mistakes or typos have been made.
5. If required, attach any supporting documentation or exhibits as instructed by 17 CFR Part 420. Ensure that all attachments are properly labeled and referenced in the appropriate sections of the forms.
6. Review the completed forms one final time to ensure that everything is filled out correctly and in accordance with the regulations. Make any necessary corrections or adjustments before finalizing the submission.
7. Submit the completed forms and any required supporting documentation to the appropriate regulatory authority or designated entity by the specified deadline. Ensure that you retain copies of all submitted materials for your records.

Who needs 17 CFR Part 420:

1. Entities engaged in the business of clearing or settling security-based swaps are required to comply with 17 CFR Part 420. This includes clearing agencies, clearing members, swap dealers, security-based swap execution facilities, and other market participants involved in clearing or settling these financial instruments.
2. Financial institutions and organizations that provide services related to security-based swaps may also need to familiarize themselves with 17 CFR Part 420, as they may be required to provide certain information or reporting to the relevant regulatory authorities.
3. Compliance officers, legal teams, and other personnel responsible for ensuring regulatory compliance within these entities should have knowledge of and familiarity with 17 CFR Part 420 to fulfill their responsibilities effectively.

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What is 17 cfr part 420?

17 CFR Part 420 pertains to the close-out requirements for security-based swaps.

Who is required to file 17 cfr part 420?

Entities involved in security-based swaps are required to file 17 CFR Part 420.

How to fill out 17 cfr part 420?

To fill out 17 CFR Part 420, entities need to provide specific information related to their security-based swaps transactions.

What is the purpose of 17 cfr part 420?

The purpose of 17 CFR Part 420 is to ensure proper close-out procedures for security-based swaps.

What information must be reported on 17 cfr part 420?

Entities are required to report information related to their security-based swaps transactions on 17 CFR Part 420.