17 CFR Part 37
PART 37—SWAP EXECUTION FACILITIES
- PART 37—SWAP EXECUTION FACILITIES
- Chapter I—Commodity Futures Trading Commission
- Subpart A—General Provisions
- § 37.1 Scope.
- § 37.2 Applicable provisions.
- § 37.3 Requirements and procedures for registration.
- § 37.4 Procedures for listing products and implementing rules.
- § 37.5 Information relating to swap execution facility compliance.
- § 37.6 Enforceability.
- § 37.7 Prohibited use of data collected for regulatory purposes.
- § 37.8 Boards of trade operating both a designated contract market and a swap execution facility.
- § 37.9 Methods of execution for required and permitted transactions.
- § 37.10 Process for a swap execution facility to make a swap available to trade.
- § 37.11 [Reserved]
- § 37.12 Trade execution compliance schedule.
- Subpart B—Compliance With Core Principles
- § 37.100 Core Principle 1—Compliance with core principles.
- Subpart C—Compliance With Rules
- § 37.200 Core Principle 2—Compliance with rules.
- § 37.201 Operation of swap execution facility and compliance with rules.
- § 37.202 Access requirements.
- § 37.203 Rule enforcement program.
- § 37.204 Regulatory services provided by a third party.
- § 37.205 Audit trail.
- § 37.206 Disciplinary procedures and sanctions.
- Subpart D—Swaps Not Readily Susceptible to Manipulation
- § 37.300 Core Principle 3—Swaps not readily susceptible to manipulation.
- § 37.301 General requirements.
- Subpart E—Monitoring of Trading and Trade Processing
- § 37.400 Core Principle 4—Monitoring of trading and trade processing.
- § 37.401 General requirements.
- § 37.402 Additional requirements for physical-delivery swaps.
- § 37.403 Additional requirements for cash-settled swaps.
- § 37.404 Ability to obtain information.
- § 37.405 Risk controls for trading.
- § 37.406 Trade reconstruction.
- § 37.407 Regulatory service provider.
- § 37.408 Additional sources for compliance.
- Subpart F—Ability to Obtain Information
- § 37.500 Core Principle 5—Ability to obtain information.
- § 37.501 Establish and enforce rules.
- § 37.502 Collection of information.
- § 37.503 Provide information to the Commission.
- § 37.504 Information-sharing agreements.
- Subpart G—Position Limits or Accountability
- § 37.600 Core Principle 6—Position limits or accountability.
- § 37.601 Additional sources for compliance.
- Subpart H—Financial Integrity of Transactions
- § 37.700 Core Principle 7—Financial integrity of transactions.
- § 37.701 Required clearing.
- § 37.702 General financial integrity.
- § 37.703 Monitoring for financial soundness.
- Subpart I—Emergency Authority
- § 37.800 Core Principle 8—Emergency authority.
- § 37.801 Additional sources for compliance.
- Subpart J—Timely Publication of Trading Information
- § 37.900 Core Principle 9—Timely publication of trading information.
- § 37.901 General requirements.
- Subpart K—Recordkeeping and Reporting
- § 37.1000 Core Principle 10—Recordkeeping and reporting.
- § 37.1001 Recordkeeping.
- Subpart L—Antitrust Considerations
- § 37.1100 Core Principle 11—Antitrust considerations.
- § 37.1101 Additional sources for compliance.
- Subpart M—Conflicts of Interest
- § 37.1200 Core Principle 12—Conflicts of interest.
- Subpart N—Financial Resources
- § 37.1300 Core Principle 13—Financial resources.
- § 37.1301 General requirements.
- § 37.1302 Types of financial resources.
- § 37.1303 Liquidity of financial resources.
- § 37.1304 Computation of costs to meet financial resources requirement.
- § 37.1305 Valuation of financial resources.
- § 37.1306 Reporting to the Commission.
- § 37.1307 Delegation of authority.
- Subpart O—System Safeguards
- § 37.1400 Core Principle 14—System safeguards.
- § 37.1401 Requirements.
- Subpart P—Designation of Chief Compliance Officer
- § 37.1500 Core Principle 15—Designation of chief compliance officer.
- § 37.1501 Chief compliance officer.
- Appendix A to Part 37—Form SEF
- Appendix B to Part 37—Guidance on, and Acceptable Practices in, Compliance with Core Principles
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