Part 37 — Swap Execution Facilities
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.
- § 37.12— Trade execution compliance schedule.
Subpart B — Compliance With Core Principles
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.
Subpart D — Swaps Not Readily Susceptible to Manipulation
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.
Subpart F — Ability to Obtain Information
Subpart G — Position Limits or Accountability
Subpart H — Financial Integrity of Transactions
Subpart I — Emergency Authority
Subpart J — Timely Publication of Trading Information
Subpart K — Recordkeeping and Reporting
Subpart L — Antitrust Considerations
Subpart M — Conflicts of Interest
Subpart N — Financial Resources
- § 37.1300— Core Principle 13—Financial resources.
- § 37.1301— General requirements.
- § 37.1302— Types of financial resources.
- § 37.1303— Liquidity of financial resources.
- § 37.1304— Computation of costs to meet financial resources requirement.
- § 37.1305— Valuation of financial resources.
- § 37.1306— Reporting to the Commission.
- § 37.1307— Delegation of authority.