Individuals & Families
Small Businesses
Nonprofits
Employers
Employee Benefits Brokers
PEOs
Credit Unions
Membership Groups
Legal Information
Sign In
/
U.S. Code of Federal Regula...
/
Title 17—Commodity and Secu...
/
CHAPTER I—COMMODITY FUTURES...
/
PART 37—SWAP EXECUTION FACILITIES
PART 37—SWAP EXECUTION FACILITIES
§ 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 - Trade execution compliance schedule.
§ 37.12 - Trade execution compliance schedule.
§ 37.100 - Core Principle 1—Compliance with core principles.
§ 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.
§ 37.300 - Core Principle 3—Swaps not readily susceptible to manipulation.
§ 37.301 - General requirements.
§ 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.
§ 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.
§ 37.600 - Core Principle 6—Position limits or accountability.
§ 37.601 - Additional sources for compliance.
§ 37.700 - Core Principle 7—Financial integrity of transactions.
§ 37.701 - Required clearing.
§ 37.702 - General financial integrity.
§ 37.703 - Monitoring for financial soundness.
§ 37.800 - Core Principle 8—Emergency authority.
§ 37.801 - Additional sources for compliance.
§ 37.900 - Core Principle 9—Timely publication of trading information.
§ 37.901 - General requirements.
§ 37.1000 - Core Principle 10—Recordkeeping and reporting.
§ 37.1001 - Recordkeeping.
§ 37.1100 - Core Principle 11—Antitrust considerations.
§ 37.1101 - Additional sources for compliance.
§ 37.1200 - Core Principle 12—Conflicts of interest.
§ 37.1300 - Core Principle 13—Financial resources.
§ 37.1301 - General requirements.
§ 37.1302 - Types of financial resources.
§ 37.1303 - Computation of projected operating costs to meet financial resource requirement.
§ 37.1304 - Valuation of financial resources.
§ 37.1305 - Liquidity of financial resources.
§ 37.1306 - Reporting to the Commission.
§ 37.1307 - Delegation of authority.
§ 37.1400 - Core Principle 14—System safeguards.
§ 37.1401 - Requirements.
§ 37.1500 - Core Principle 15—Designation of chief compliance officer.
§ 37.1501 - Chief compliance officer.