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Section 37.1
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Applicable provisions |
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Section 37.2
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Requirements and procedures for registration |
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Section 37.3
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Procedures for listing products and implementing rules |
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Section 37.4
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Information relating to swap execution facility compliance |
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Section 37.5
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Enforceability |
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Section 37.6
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Prohibited use of data collected for regulatory purposes |
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Section 37.7
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Boards of trade operating both a designated contract market and a swap execution facility |
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Section 37.8
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Methods of execution for required and permitted transactions |
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Section 37.9
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Process for a swap execution facility to make a swap available to trade |
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Section 37.10
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Trade execution compliance schedule |
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Section 37.12
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Core Principle 1--Compliance with core principles |
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Section 37.100
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Core Principle 2--Compliance with rules |
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Section 37.200
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Operation of swap execution facility and compliance with rules |
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Section 37.201
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Access requirements |
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Section 37.202
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Rule enforcement program |
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Section 37.203
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Regulatory services provided by a third party |
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Section 37.204
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Audit trail |
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Section 37.205
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Disciplinary procedures and sanctions |
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Section 37.206
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Core Principle 3--Swaps not readily susceptible to manipulation |
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Section 37.300
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General requirements |
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Section 37.301
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Core Principle 4--Monitoring of trading and trade processing |
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Section 37.400
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General requirements |
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Section 37.401
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Additional requirements for physical-delivery swaps |
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Section 37.402
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Additional requirements for cash-settled swaps |
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Section 37.403
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Ability to obtain information |
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Section 37.404
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Risk controls for trading |
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Section 37.405
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Trade reconstruction |
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Section 37.406
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Regulatory service provider |
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Section 37.407
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Additional sources for compliance |
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Section 37.408
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Core Principle 5--Ability to obtain information |
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Section 37.500
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Establish and enforce rules |
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Section 37.501
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Collection of information |
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Section 37.502
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Provide information to the Commission |
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Section 37.503
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Information-sharing agreements |
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Section 37.504
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Core Principle 6--Position limits or accountability |
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Section 37.600
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Additional sources for compliance |
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Section 37.601
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Core Principle 7--Financial integrity of transactions |
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Section 37.700
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Required clearing |
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Section 37.701
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General financial integrity |
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Section 37.702
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Monitoring for financial soundness |
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Section 37.703
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Core Principle 8--Emergency authority |
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Section 37.800
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Additional sources for compliance |
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Section 37.801
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Core Principle 9--Timely publication of trading information |
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Section 37.900
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General requirements |
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Section 37.901
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Core Principle 10--Recordkeeping and reporting |
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Section 37.1000
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Recordkeeping |
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Section 37.1001
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Core Principle 11--Antitrust considerations |
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Section 37.1100
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Additional sources for compliance |
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Section 37.1101
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Core Principle 12--Conflicts of interest |
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Section 37.1200
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Core Principle 13--Financial resources |
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Section 37.1300
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General requirements |
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Section 37.1301
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Types of financial resources |
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Section 37.1302
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Computation of projected operating costs to meet financial resource requirement |
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Section 37.1303
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Valuation of financial resources |
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Section 37.1304
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Liquidity of financial resources |
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Section 37.1305
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Reporting to the Commission |
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Section 37.1306
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Delegation of authority |
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Section 37.1307
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Core Principle 14--System safeguards |
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Section 37.1400
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Requirements |
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Section 37.1401
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Core Principle 15--Designation of chief compliance officer |
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Section 37.1500
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Chief compliance officer |
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Section 37.1501
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Scope |