Title 17, Part 37 — Swap Execution Facilities
63 sections
Section 37.1
Scope.
Section 37.2
Applicable provisions.
Section 37.3
Requirements and procedures for registration.
Section 37.4
Procedures for listing products and implementing rules.
Section 37.5
Information relating to swap execution facility compliance.
Section 37.6
Enforceability.
Section 37.7
Prohibited use of data collected for regulatory purposes.
Section 37.8
Boards of trade operating both a designated contract market and a swap execution facility.
Section 37.9
Methods of execution for required and permitted transactions.
Section 37.10
Process for a swap execution facility to make a swap available to trade.
Section 37.11
[Reserved]
Section 37.12
Trade execution compliance schedule.
Section 37.100
Core Principle 1—Compliance with core principles.
Section 37.200
Core Principle 2—Compliance with rules.
Section 37.201
Operation of swap execution facility and compliance with rules.
Section 37.202
Access requirements.
Section 37.203
Rule enforcement program.
Section 37.204
Regulatory services provided by a third party.
Section 37.205
Audit trail.
Section 37.206
Disciplinary procedures and sanctions.
Section 37.300
Core Principle 3—Swaps not readily susceptible to manipulation.
Section 37.301
General requirements.
Section 37.400
Core Principle 4—Monitoring of trading and trade processing.
Section 37.401
General requirements.
Section 37.402
Additional requirements for physical-delivery swaps.
Section 37.403
Additional requirements for cash-settled swaps.
Section 37.404
Ability to obtain information.
Section 37.405
Risk controls for trading.
Section 37.406
Trade reconstruction.
Section 37.407
Regulatory service provider.
Section 37.408
Additional sources for compliance.
Section 37.500
Core Principle 5—Ability to obtain information.
Section 37.501
Establish and enforce rules.
Section 37.502
Collection of information.
Section 37.503
Provide information to the Commission.
Section 37.504
Information-sharing agreements.
Section 37.600
Core Principle 6—Position limits or accountability.
Section 37.601
Additional sources for compliance.
Section 37.700
Core Principle 7—Financial integrity of transactions.
Section 37.701
Required clearing.
Section 37.702
General financial integrity.
Section 37.703
Monitoring for financial soundness.
Section 37.800
Core Principle 8—Emergency authority.
Section 37.801
Additional sources for compliance.
Section 37.900
Core Principle 9—Timely publication of trading information.
Section 37.901
General requirements.
Section 37.1000
Core Principle 10—Recordkeeping and reporting.
Section 37.1001
Recordkeeping.
Section 37.1100
Core Principle 11—Antitrust considerations.
Section 37.1101
Additional sources for compliance.
Section 37.1200
Core Principle 12—Conflicts of interest.
Section 37.1300
Core Principle 13—Financial resources.
Section 37.1301
General requirements.
Section 37.1302
Types of financial resources.
Section 37.1303
Liquidity of financial resources.
Section 37.1304
Computation of costs to meet financial resources requirement.
Section 37.1305
Valuation of financial resources.
Section 37.1306
Reporting to the Commission.
Section 37.1307
Delegation of authority.
Section 37.1400
Core Principle 14—System safeguards.
Section 37.1401
Requirements.
Section 37.1500
Core Principle 15—Designation of chief compliance officer.
Section 37.1501
Chief compliance officer.