Title 17

PART 37

Part 37 - Swap Execution Facilities

PART 37 - SWAP EXECUTION FACILITIES Authority: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. Source:78 FR 33582, June 4, 2013, unless otherwise noted.

• Authority: 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.
• Source: 78 FR 33582, June 4, 2013, unless otherwise noted.

17:1.0.1.1.30.1	SUBPART A	Subpart A - General Provisions
17:1.0.1.1.30.1.7.1	SECTION 37.1	37.1 Scope.
17:1.0.1.1.30.1.7.2	SECTION 37.2	37.2 Applicable provisions.
17:1.0.1.1.30.1.7.3	SECTION 37.3	37.3 Requirements and procedures for registration.
17:1.0.1.1.30.1.7.4	SECTION 37.4	37.4 Procedures for listing products and implementing rules.
17:1.0.1.1.30.1.7.5	SECTION 37.5	37.5 Information relating to swap execution facility compliance.
17:1.0.1.1.30.1.7.6	SECTION 37.6	37.6 Enforceability.
17:1.0.1.1.30.1.7.7	SECTION 37.7	37.7 Prohibited use of data collected for regulatory purposes.
17:1.0.1.1.30.1.7.8	SECTION 37.8	37.8 Boards of trade operating both a designated contract market and a swap execution facility.
17:1.0.1.1.30.1.7.9	SECTION 37.9	37.9 Methods of execution for required and permitted transactions.
17:1.0.1.1.30.1.7.10	SECTION 37.10	37.10 Process for a swap execution facility to make a swap available to trade.
17:1.0.1.1.30.1.7.11	SECTION 37.11	37.11 [Reserved]
17:1.0.1.1.30.1.7.12	SECTION 37.12	37.12 Trade execution compliance schedule.
17:1.0.1.1.30.2	SUBPART B	Subpart B - Compliance With Core Principles
17:1.0.1.1.30.2.7.1	SECTION 37.100	37.100 Core Principle 1 - Compliance with core principles.
17:1.0.1.1.30.3	SUBPART C	Subpart C - Compliance With Rules
17:1.0.1.1.30.3.7.1	SECTION 37.200	37.200 Core Principle 2 - Compliance with rules.
17:1.0.1.1.30.3.7.2	SECTION 37.201	37.201 Operation of swap execution facility and compliance with rules.
17:1.0.1.1.30.3.7.3	SECTION 37.202	37.202 Access requirements.
17:1.0.1.1.30.3.7.4	SECTION 37.203	37.203 Rule enforcement program.
17:1.0.1.1.30.3.7.5	SECTION 37.204	37.204 Regulatory services provided by a third party.
17:1.0.1.1.30.3.7.6	SECTION 37.205	37.205 Audit trail.
17:1.0.1.1.30.3.7.7	SECTION 37.206	37.206 Disciplinary procedures and sanctions.
17:1.0.1.1.30.4	SUBPART D	Subpart D - Swaps Not Readily Susceptible to Manipulation
17:1.0.1.1.30.4.7.1	SECTION 37.300	37.300 Core Principle 3 - Swaps not readily susceptible to manipulation.
17:1.0.1.1.30.4.7.2	SECTION 37.301	37.301 General requirements.
17:1.0.1.1.30.5	SUBPART E	Subpart E - Monitoring of Trading and Trade Processing
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.
17:1.0.1.1.30.6	SUBPART F	Subpart F - Ability to Obtain Information
17:1.0.1.1.30.6.7.1	SECTION 37.500	37.500 Core Principle 5 - Ability to obtain information.
17:1.0.1.1.30.6.7.2	SECTION 37.501	37.501 Establish and enforce rules.
17:1.0.1.1.30.6.7.3	SECTION 37.502	37.502 Collection of information.
17:1.0.1.1.30.6.7.4	SECTION 37.503	37.503 Provide information to the Commission.
17:1.0.1.1.30.6.7.5	SECTION 37.504	37.504 Information-sharing agreements.
17:1.0.1.1.30.7	SUBPART G	Subpart G - Position Limits or Accountability
17:1.0.1.1.30.7.7.1	SECTION 37.600	37.600 Core Principle 6 - Position limits or accountability.
17:1.0.1.1.30.7.7.2	SECTION 37.601	37.601 Additional sources for compliance.
17:1.0.1.1.30.8	SUBPART H	Subpart H - Financial Integrity of Transactions
17:1.0.1.1.30.8.7.1	SECTION 37.700	37.700 Core Principle 7 - Financial integrity of transactions.
17:1.0.1.1.30.8.7.2	SECTION 37.701	37.701 Required clearing.
17:1.0.1.1.30.8.7.3	SECTION 37.702	37.702 General financial integrity.
17:1.0.1.1.30.8.7.4	SECTION 37.703	37.703 Monitoring for financial soundness.
17:1.0.1.1.30.9	SUBPART I	Subpart I - Emergency Authority
17:1.0.1.1.30.9.7.1	SECTION 37.800	37.800 Core Principle 8 - Emergency authority.
17:1.0.1.1.30.9.7.2	SECTION 37.801	37.801 Additional sources for compliance.
17:1.0.1.1.30.10	SUBPART J	Subpart J - Timely Publication of Trading Information
17:1.0.1.1.30.10.7.1	SECTION 37.900	37.900 Core Principle 9 - Timely publication of trading information.
17:1.0.1.1.30.10.7.2	SECTION 37.901	37.901 General requirements.
17:1.0.1.1.30.11	SUBPART K	Subpart K - Recordkeeping and Reporting
17:1.0.1.1.30.11.7.1	SECTION 37.1000	37.1000 Core Principle 10 - Recordkeeping and reporting.
17:1.0.1.1.30.11.7.2	SECTION 37.1001	37.1001 Recordkeeping.
17:1.0.1.1.30.12	SUBPART L	Subpart L - Antitrust Considerations
17:1.0.1.1.30.12.7.1	SECTION 37.1100	37.1100 Core Principle 11 - Antitrust considerations.
17:1.0.1.1.30.12.7.2	SECTION 37.1101	37.1101 Additional sources for compliance.
17:1.0.1.1.30.13	SUBPART M	Subpart M - Conflicts of Interest
17:1.0.1.1.30.13.7.1	SECTION 37.1200	37.1200 Core Principle 12 - Conflicts of interest.
17:1.0.1.1.30.14	SUBPART N	Subpart N - Financial Resources
17:1.0.1.1.30.14.7.1	SECTION 37.1300	37.1300 Core Principle 13 - Financial resources.
17:1.0.1.1.30.14.7.2	SECTION 37.1301	37.1301 General requirements.
17:1.0.1.1.30.14.7.3	SECTION 37.1302	37.1302 Types of financial resources.
17:1.0.1.1.30.14.7.4	SECTION 37.1303	37.1303 Computation of projected operating costs to meet financial resource requirement.
17:1.0.1.1.30.14.7.5	SECTION 37.1304	37.1304 Valuation of financial resources.
17:1.0.1.1.30.14.7.6	SECTION 37.1305	37.1305 Liquidity of financial resources.
17:1.0.1.1.30.14.7.7	SECTION 37.1306	37.1306 Reporting to the Commission.
17:1.0.1.1.30.14.7.8	SECTION 37.1307	37.1307 Delegation of authority.
17:1.0.1.1.30.15	SUBPART O	Subpart O - System Safeguards
17:1.0.1.1.30.15.7.1	SECTION 37.1400	37.1400 Core Principle 14 - System safeguards.
17:1.0.1.1.30.15.7.2	SECTION 37.1401	37.1401 Requirements.
17:1.0.1.1.30.16	SUBPART P	Subpart P - Designation of Chief Compliance Officer
17:1.0.1.1.30.16.7.1	SECTION 37.1500	37.1500 Core Principle 15 - Designation of chief compliance officer.
17:1.0.1.1.30.16.7.2	SECTION 37.1501	37.1501 Chief compliance officer.
17:1.0.1.1.30.17	SUBPART 0
17:1.0.1.1.30.18.7.1.29	APPENDIX Appendix A	Appendix A to Part 37 - Form SEF
17:1.0.1.1.30.18.7.1.30	APPENDIX Appendix B	Appendix B to Part 37 - Guidance on, and Acceptable Practices in, Compliance with Core Principles

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