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FEDERAL · 17 CFR

Part 37 — Swap Execution Facilities

63 sections · Title 17: Commodity and Securities Exchanges

§ 37.1Scope.
§ 37.2Applicable provisions.
§ 37.3Requirements and procedures for registration.
§ 37.4Procedures for listing products and implementing rules.
§ 37.5Information relating to swap execution facility compliance.
§ 37.6Enforceability.
§ 37.7Prohibited use of data collected for regulatory purposes.
§ 37.8Boards of trade operating both a designated contract market and a swap execution facility.
§ 37.9Methods of execution for required and permitted transactions.
§ 37.10Process for a swap execution facility to make a swap available to trade.
§ 37.11§ 37.11 [Reserved]
§ 37.12Trade execution compliance schedule.
§ 37.100Core Principle 1—Compliance with core principles.
§ 37.200Core Principle 2—Compliance with rules.
§ 37.201Operation of swap execution facility and compliance with rules.
§ 37.202Access requirements.
§ 37.203Rule enforcement program.
§ 37.204Regulatory services provided by a third party.
§ 37.205Audit trail.
§ 37.206Disciplinary procedures and sanctions.
§ 37.300Core Principle 3—Swaps not readily susceptible to manipulation.
§ 37.301General requirements.
§ 37.400Core Principle 4—Monitoring of trading and trade processing.
§ 37.401General requirements.
§ 37.402Additional requirements for physical-delivery swaps.
§ 37.403Additional requirements for cash-settled swaps.
§ 37.404Ability to obtain information.
§ 37.405Risk controls for trading.
§ 37.406Trade reconstruction.
§ 37.407Regulatory service provider.
§ 37.408Additional sources for compliance.
§ 37.500Core Principle 5—Ability to obtain information.
§ 37.501Establish and enforce rules.
§ 37.502Collection of information.
§ 37.503Provide information to the Commission.
§ 37.504Information-sharing agreements.
§ 37.600Core Principle 6—Position limits or accountability.
§ 37.601Additional sources for compliance.
§ 37.700Core Principle 7—Financial integrity of transactions.
§ 37.701Required clearing.
§ 37.702General financial integrity.
§ 37.703Monitoring for financial soundness.
§ 37.800Core Principle 8—Emergency authority.
§ 37.801Additional sources for compliance.
§ 37.900Core Principle 9—Timely publication of trading information.
§ 37.901General requirements.
§ 37.1000Core Principle 10—Recordkeeping and reporting.
§ 37.1001Recordkeeping.
§ 37.1100Core Principle 11—Antitrust considerations.
§ 37.1101Additional sources for compliance.
§ 37.1200Core Principle 12—Conflicts of interest.
§ 37.1300Core Principle 13—Financial resources.
§ 37.1301General requirements.
§ 37.1302Types of financial resources.
§ 37.1303Liquidity of financial resources.
§ 37.1304Computation of costs to meet financial resources requirement.
§ 37.1305Valuation of financial resources.
§ 37.1306Reporting to the Commission.
§ 37.1307Delegation of authority.
§ 37.1400Core Principle 14—System safeguards.
§ 37.1401Requirements.
§ 37.1500Core Principle 15—Designation of chief compliance officer.
§ 37.1501Chief compliance officer.