PocketLaw | CFR 17 | Swap Execution Facilities

Swap Execution Facilities

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General Provisions

Compliance With Core Principles

Compliance With Rules

Swaps Not Readily Susceptible to Manipulation

Monitoring of Trading and Trade Processing

Ability to Obtain Information

Position Limits or Accountability

Financial Integrity of Transactions

Emergency Authority

Timely Publication of Trading Information

Recordkeeping and Reporting

Antitrust Considerations

Conflicts of Interest

Financial Resources

System Safeguards

Designation of Chief Compliance Officer

Appendix
Appendix A to Part 37

Form SEF

Appendix
Appendix B to Part 37

Guidance on, and Acceptable Practices in, Compliance with Core Principles