Subpart E—Monitoring of Trading and Trade Processing

1. CFR
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3. Title 17
4. ›
5. Chapter I
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7. Part 37
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9. Subpart E

Sections

• 37.400
  § 37.400 Core Principle 4—Monitoring of trading and trade processing.
• 37.401
  § 37.401 General requirements.
• 37.402
  § 37.402 Additional requirements for physical-delivery swaps.
• 37.403
  § 37.403 Additional requirements for cash-settled swaps.
• 37.404
  § 37.404 Ability to obtain information.
• 37.405
  § 37.405 Risk controls for trading.
• 37.406
  § 37.406 Trade reconstruction.
• 37.407
  § 37.407 Regulatory service provider.
• 37.408
  § 37.408 Additional sources for compliance.