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Code of Federal Regulations (Last Updated: November 8, 2024) |
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Title 17 - Commodity and Securities Exchanges |
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Chapter I - Commodity Futures Trading Commission |
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Part 37 - Swap Execution Facilities |
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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. |