Monitoring of Trading and Trade Processing

  1. Law
  2. CFR 17
  3. Commodity and Securities Exchanges
  4. Commodity Futures Trading Commission
  5. Swap Execution Facilities
  6. Monitoring of Trading and Trade Processing

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Section
37.400

Core Principle 4 - Monitoring of trading and trade processing.

Section
37.401

General requirements.

Section
37.402

Additional requirements for physical-delivery swaps.

Section
37.403

Additional requirements for cash-settled swaps.

Section
37.404

Ability to obtain information.

Section
37.405

Risk controls for trading.

Section
37.406

Trade reconstruction.

Section
37.407

Regulatory service provider.

Section
37.408

Additional sources for compliance.