1. LawStack
  2. Title 17 - Commodity and Securities Exchange
  3. Chapter I - COMMODITY FUTURES TRADING COMMISSION
  4. Part 37 - SWAP EXECUTION FACILITIES
  5. Subpart E - Monitoring of Trading and Trade Processing
  6. 17 CFR § 37.407
17 CFR § 37.407
Regulatory service provider
April 15, 2021
CFR

A swap execution facility shall comply with the regulations in this subpart through a dedicated regulatory department or by contracting with a regulatory service provider pursuant to §37.204.

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§ 37.406 Trade reconstruction
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§ 37.408 Additional sources for compliance

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