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Regulations last checked for updates: Nov 24, 2024
Title 17 - Commodity and Securities Exchanges last revised: Nov 19, 2024
All Titles
Title 17
Chapter I
Part 37
Subpart E - 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.
authority:
7 U.S.C. 1a
,
2
,
5
,
6
,
6
c,
7
,
7
a-2,
7
b-3,
and
,
as
,
Pub
. L. 111-203, 124 Stat. 1376
source:
78 FR 33582, June 4, 2013, unless otherwise noted.
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