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Electronic Code of Federal Regulations

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e-CFR Data is current as of April 16, 2014

TITLE 17—Commodity and Securities Exchanges

CHAPTER I—COMMODITY FUTURES TRADING COMMISSION

PART 37—SWAP EXECUTION FACILITIES

rule

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.
rule

Subpart B—COMPLIANCE WITH CORE PRINCIPLES

§37.100
Core Principle 1—Compliance with core principles.
rule

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.
rule

Subpart D—SWAPS NOT READILY SUSCEPTIBLE TO MANIPULATION

§37.300
Core Principle 3—Swaps not readily susceptible to manipulation.
§37.301
General requirements.
rule

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.
rule

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.
rule

Subpart G—POSITION LIMITS OR ACCOUNTABILITY

§37.600
Core Principle 6—Position limits or accountability.
§37.601
Additional sources for compliance.
rule

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.
rule

Subpart I—EMERGENCY AUTHORITY

§37.800
Core Principle 8—Emergency authority.
§37.801
Additional sources for compliance.
rule

Subpart J—TIMELY PUBLICATION OF TRADING INFORMATION

§37.900
Core Principle 9—Timely publication of trading information.
§37.901
General requirements.
rule

Subpart K—RECORDKEEPING AND REPORTING

§37.1000
Core Principle 10—Recordkeeping and reporting.
§37.1001
Recordkeeping.
rule

Subpart L—ANTITRUST CONSIDERATIONS

§37.1100
Core Principle 11—Antitrust considerations.
§37.1101
Additional sources for compliance.
rule

Subpart M—CONFLICTS OF INTEREST

§37.1200
Core Principle 12—Conflicts of interest.
rule

Subpart N—FINANCIAL RESOURCES

§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.
rule

Subpart O—SYSTEM SAFEGUARDS

§37.1400
Core Principle 14—System safeguards.
§37.1401
Requirements.
rule

Subpart P—DESIGNATION OF CHIEF COMPLIANCE OFFICER

§37.1500
Core Principle 15—Designation of chief compliance officer.
§37.1501
Chief compliance officer.
Appendix
Appendix A to Part 37—Form SEF
Appendix
Appendix B to Part 37—Guidance on, and Acceptable Practices in, Compliance with Core Principles


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