---
kind: "section"
citation: "17 C.F.R. § 20.10"
title: "17"
number: "20.10"
heading: "Compliance schedule."
url: "https://uscodex.org/cfr/17/20.10"
---

# §20.10. Compliance schedule.

- (a) Clearinghouses, clearing members and persons with books and records obligations shall comply with the requirements of this part upon the effective date of this part.
- (b) Swap dealers that are not clearing members shall comply with the requirements of this part upon the effective date of final regulations further defining the term swap dealer.
- (c) The Commission may permit, for a period not to exceed six calendar months following the effective date specified in [paragraph (a)](#a) of this section, the submission of reports pursuant to §§ [20.3](/cfr/17/20.3.md) and [20.4](/cfr/17/20.4.md) that differ in content, or are submitted in a form and manner which is other than prescribed by the provisions of this part, provided that the submitter is making a good faith attempt to comply with all of the provisions of this part.
- (d) Unless determined otherwise by the Commission, paired swap and swaption position and market reports submitted under parts [15](/cfr/17/part15.md) through [19](/cfr/17/part19.md), or 21 of this chapter, or any order of the Commission, shall continue to be submitted under those parts or orders until swap dealers are required to comply with [§ 20.4](/cfr/17/20.4.md).
- (e) The Commission may extend the compliance date established in [paragraph (b)](#b) of this section by an additional six calendar months based on resource limitations or lack of experience in reporting transactions to the Commission for a swap dealer that is not an affiliate of a bank holding company and:
  - (1) Is not registered with the Commission as a futures commission merchant and is not an affiliate of a futures commission merchant;
  - (2) Is not registered with the Securities and Exchange Commission as a broker or dealer and is not an affiliate of a broker or dealer; and
  - (3) **Is not supervised by any Federal prudential regulator.**

## Notes

### Authority

Authority: 7 U.S.C. 1a, 2, 5, 6, 6a, 6c, 6f, 6g, 6t, 12a, 19.

### Source

Source: 76 FR 43862, July 22, 2011, unless otherwise noted.