Title 17

PART 37 SUBPART E

Subpart E - Monitoring of Trading and Trade Processing

• 7 U.S.C. 1a, 2, 5, 6, 6c, 7, 7a-2, 7b-3, and 12a, as amended by Titles VII and VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Pub. L. 111-203, 124 Stat. 1376.
• 78 FR 33582, June 4, 2013, unless otherwise noted.

17:1.0.1.1.30.5.7.1	SECTION 37.400	37.400 Core Principle 4 - Monitoring of trading and trade processing.
17:1.0.1.1.30.5.7.2	SECTION 37.401	37.401 General requirements.
17:1.0.1.1.30.5.7.3	SECTION 37.402	37.402 Additional requirements for physical-delivery swaps.
17:1.0.1.1.30.5.7.4	SECTION 37.403	37.403 Additional requirements for cash-settled swaps.
17:1.0.1.1.30.5.7.5	SECTION 37.404	37.404 Ability to obtain information.
17:1.0.1.1.30.5.7.6	SECTION 37.405	37.405 Risk controls for trading.
17:1.0.1.1.30.5.7.7	SECTION 37.406	37.406 Trade reconstruction.
17:1.0.1.1.30.5.7.8	SECTION 37.407	37.407 Regulatory service provider.
17:1.0.1.1.30.5.7.9	SECTION 37.408	37.408 Additional sources for compliance.

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