17 CFR §37.1400

1. (a)Establish and maintain a program of risk analysis and oversight to identify and minimize sources of operational risk, through the development of appropriate controls and procedures, and automated systems, that:
   1. (1)Are reliable and secure; and
   2. (2)Have adequate scalable capacity;
2. (b)Establish and maintain emergency procedures, backup facilities, and a plan for disaster recovery that allow for:
   1. (1)The timely recovery and resumption of operations; and
   2. (2)The fulfillment of the responsibilities and obligations of the swap execution facility; and
3. (c)Periodically conduct tests to verify that the backup resources of the swap execution facility are sufficient to ensure continued:
   1. (1)Order processing and trade matching;
   2. (2)Price reporting;
   3. (3)Market surveillance; and
   4. (4)Maintenance of a comprehensive and accurate audit trail.