Regulation SE—Registration and Regulation of Security-Based Swap Execution Facilities

Sections

• 242.800
  § 242.800 Scope.
• 242.801
  § 242.801 Applicable provisions.
• 242.802
  § 242.802 Definitions.
• 242.803
  § 242.803 Requirements and procedures for registration.
• 242.804
  § 242.804 Listing products for trading by certification.
• 242.805
  § 242.805 Voluntary submission of new products for Commission review and approval.
• 242.806
  § 242.806 Voluntary submission of rules for Commission review and approval.
• 242.807
  § 242.807 Self-certification of rules.
• 242.808
  § 242.808 Availability of public information.
• 242.809
  § 242.809 Staying of certification and tolling of review period pending jurisdictional determination.
• 242.810
  § 242.810 Product filings by security-based swap execution facilities that are not yet registered and by dormant security-based swap execution facilities.
• 242.811
  § 242.811 Information relating to security-based swap execution facility compliance.
• 242.812
  § 242.812 Enforceability.
• 242.813
  § 242.813 Prohibited use of data collected for regulatory purposes.
• 242.814
  § 242.814 Entity operating both a national securities exchange and security-based swap execution facility.
• 242.815
  § 242.815 Methods of execution for Required and Permitted Transactions.
• 242.816
  § 242.816 Trade execution requirement and exemptions therefrom.
• 242.817
  § 242.817 Trade execution compliance schedule.
• 242.818
  § 242.818 Core Principle 1—Compliance with core principles.
• 242.819
  § 242.819 Core Principle 2—Compliance with rules.
• 242.820
  § 242.820 Core Principle 3—Security-based swaps not readily susceptible to manipulation.
• 242.821
  § 242.821 Core Principle 4—Monitoring of trading and trade processing.
• 242.822
  § 242.822 Core Principle 5—Ability to obtain information.
• 242.823
  § 242.823 Core Principle 6—Financial integrity of transactions.
• 242.824
  § 242.824 Core Principle 7—Emergency authority.
• 242.825
  § 242.825 Core Principle 8—Timely publication of trading information.
• 242.826
  § 242.826 Core Principle 9—Recordkeeping and reporting.
• 242.827
  § 242.827 Core Principle 10—Antitrust considerations.
• 242.828
  § 242.828 Core Principle 11—Conflicts of interest.
• 242.829
  § 242.829 Core Principle 12—Financial resources.
• 242.830
  § 242.830 Core Principle 13—System safeguards.
• 242.831
  § 242.831 Core Principle 14—Designation of chief compliance officer.
• 242.832
  § 242.832 Application of the trade execution requirement to cross-border security-based swap transactions.
• 242.833
  § 242.833 Cross-border exemptions.
• 242.834
  § 242.834 Mitigation of conflicts of interest of security-based swap execution facilities and certain exchanges.
• 242.835
  § 242.835 Notice to Commission by security-based swap execution facility of final disciplinary action or denial or limitation of access.