Subpart A - General Provisions

§ 37.1 - Scope.

§ 37.2 - Applicable provisions.

§ 37.3 - Requirements and procedures for registration.

§ 37.4 - Procedures for listing products and implementing rules.

§ 37.5 - Information relating to swap execution facility compliance.

§ 37.6 - Enforceability.

§ 37.7 - Prohibited use of data collected for regulatory purposes.

§ 37.8 - Boards of trade operating both a designated contract market and a swap execution facility.

§ 37.9 - Methods of execution for required and permitted transactions.

§ 37.10 - Process for a swap execution facility to make a swap available to trade.

§ 37.11 - [Reserved]

§ 37.12 - Trade execution compliance schedule.

Subpart B - Compliance With Core Principles

§ 37.100 - Core Principle 1 - Compliance with core principles.

Subpart C - Compliance With Rules

§ 37.200 - Core Principle 2 - Compliance with rules.

§ 37.201 - Operation of swap execution facility and compliance with rules.

§ 37.202 - Access requirements.

§ 37.203 - Rule enforcement program.

§ 37.204 - Regulatory services provided by a third party.

§ 37.205 - Audit trail.

§ 37.206 - Disciplinary procedures and sanctions.

Subpart D - Swaps Not Readily Susceptible to Manipulation

§ 37.300 - Core Principle 3 - Swaps not readily susceptible to manipulation.

§ 37.301 - General requirements.

Subpart E - Monitoring of Trading and Trade Processing

§ 37.400 - Core Principle 4 - Monitoring of trading and trade processing.

§ 37.401 - General requirements.

§ 37.402 - Additional requirements for physical-delivery swaps.

§ 37.403 - Additional requirements for cash-settled swaps.

§ 37.404 - Ability to obtain information.

§ 37.405 - Risk controls for trading.

§ 37.406 - Trade reconstruction.

§ 37.407 - Regulatory service provider.

§ 37.408 - Additional sources for compliance.

Subpart F - Ability to Obtain Information

§ 37.500 - Core Principle 5 - Ability to obtain information.

§ 37.501 - Establish and enforce rules.

§ 37.502 - Collection of information.

§ 37.503 - Provide information to the Commission.

§ 37.504 - Information-sharing agreements.

Subpart G - Position Limits or Accountability

§ 37.600 - Core Principle 6 - Position limits or accountability.

§ 37.601 - Additional sources for compliance.

Subpart H - Financial Integrity of Transactions

§ 37.700 - Core Principle 7 - Financial integrity of transactions.

§§ 37.700--37.701 - [Reserved]

§ 37.701 - Required clearing.

§ 37.702 - General financial integrity.

§ 37.703 - Monitoring for financial soundness.

Subpart I - Emergency Authority

§ 37.800 - Core Principle 8 - Emergency authority.

§ 37.801 - Additional sources for compliance.

Subpart J - Timely Publication of Trading Information

§ 37.900 - Core Principle 9 - Timely publication of trading information.

§ 37.901 - General requirements.

Subpart K - Recordkeeping and Reporting

§ 37.1000 - Core Principle 10 - Recordkeeping and reporting.

§ 37.1001 - Recordkeeping.

Subpart L - Antitrust Considerations

§ 37.1100 - Core Principle 11 - Antitrust considerations.

§ 37.1101 - Additional sources for compliance.

Subpart M - Conflicts of Interest

§ 37.1200 - Core Principle 12 - Conflicts of interest.

Subpart N - Financial Resources

§ 37.1300 - Core Principle 13 - Financial resources.

§ 37.1301 - General requirements.

§ 37.1302 - Types of financial resources.

§ 37.1303 - Liquidity of financial resources.

§ 37.1304 - Computation of costs to meet financial resources requirement.

§ 37.1305 - Valuation of financial resources.

§ 37.1306 - Reporting to the Commission.

§ 37.1307 - Delegation of authority.

Subpart O - System Safeguards

§ 37.1400 - Core Principle 14 - System safeguards.

§ 37.1401 - Requirements.

Subpart P - Designation of Chief Compliance Officer

§ 37.1500 - Core Principle 15 - Designation of chief compliance officer.

§ 37.1501 - Chief compliance officer.

Appendix A to Part 37 - Form SEF

Appendix B to Part 37 - Guidance on, and Acceptable Practices in, Compliance with Core Principles