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Code of Federal Regulations (Last Updated: July 5, 2024) |
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Title 17 - Commodity and Securities Exchanges |
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Chapter II—Securities and Exchange Commission |
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Part 242 - Regulations M, SHO, ATS, AC, NMS, SE, and SBSR, and Customer Margin Requirements for Security Futures |
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Regulation SE—Registration and Regulation of Security-Based Swap Execution Facilities |
§ 242.814 - Entity operating both a national securities exchange and security-based swap execution facility.
Latest version.
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§ 242.814 Entity operating both a national securities exchange and security-based swap execution facility.
(a) An entity that intends to operate both a national securities exchange and a security-based swap execution facility shall separately register the two facilities pursuant to section 6 of the Act and § 242.803, respectively.
(b) A national securities exchange shall, to the extent that the exchange also operates a security-based swap execution facility and uses the same electronic trade execution system for listing and executing trades of security-based swaps on or through the exchange and the facility, identify whether electronic trading of such security-based swaps is taking place on or through the national securities exchange or the security-based swap execution facility.