---
kind: "section"
citation: "17 C.F.R. § 46.9"
title: "17"
number: "46.9"
heading: "Voluntary supplemental reporting."
url: "https://uscodex.org/cfr/17/46.9"
---

# §46.9. Voluntary supplemental reporting.

- (a) For purposes of this section, the term voluntary, supplemental report means any report of data for a pre-enactment or transition swap to a swap data repository that is not required to be made pursuant to this part or any other part in this chapter.
- (b) A voluntary, supplemental report for a pre-enactment or transition swap may be made only by a counterparty to the swap in connection with which the voluntary, supplemental report is made, or by a third-party service provider acting on behalf of a counterparty to the swap.
- (c) A voluntary, supplemental report for a pre-enactment or transition swap may be made only after the initial data report for the swap required by [section 46.3(a)](/cfr/17/46.3.md?p=a) or the report required by [section 46.3(b)](/cfr/17/46.3.md?p=b), as applicable, has been made.
- (d) A voluntary, supplemental report for a pre-enactment or transition swap may be made either to the swap data repository to which the initial data report for the swap required by [section 46.3(a)](/cfr/17/46.3.md?p=a) or the report required by [section 46.3(b)](/cfr/17/46.3.md?p=b), as applicable, has been made, or to a different swap data repository.
- (e) A voluntary, supplemental report for a pre-enactment or transition swap must contain:
  - (1) **An indication that the report is a voluntary, supplemental report.**
  - (2) The swap data repository identifier created for the swap by the automated systems of the swap data repository to which the initial data report required by [section 46.3(a)](/cfr/17/46.3.md?p=a) or the report required by [section 46.3(b)](/cfr/17/46.3.md?p=b), as applicable, has been made.
  - (3) An indication of the identity of the swap data repository to which the initial data report required by [section 46.3(a)](/cfr/17/46.3.md?p=a) or the report required by [section 46.3(b)](/cfr/17/46.3.md?p=b), as applicable, has been made, if the voluntary supplemental report is made to a different swap data repository.
  - (4) If the pre-enactment or transition swap was in existence on or after April 25, 2011, the legal entity identifier (or substitute identifier) of the counterparty making the voluntary, supplemental report.
  - (5) If applicable, an indication that the voluntary, supplemental report is made pursuant to the laws or regulations of any jurisdiction outside the United States.
- (f) If a counterparty that has made a voluntary, supplemental report discovers any errors in the data for a pre-enactment or a transition swap included in the voluntary, supplemental report, the counterparty must report a correction of each such error to the swap data repository to which the voluntary, supplemental report was made, as soon as technologically practicable after discovery of any such error.

## Notes

### Amendments

[77 FR 35226, June 12, 2012, as amended at 85 FR 75594, Nov. 25, 2020]

### Authority

Authority: Title VII, sections 723 and 729, Pub. L. 111-203, 124 Stat. 1738.

### Source

Source: 77 FR 35226, June 12, 2012, unless otherwise noted.

### Amendments

[77 FR 35226, June 12, 2012, as amended at 85 FR 75594, Nov. 25, 2020]