Regulations last checked for updates: Nov 24, 2024

Title 17 - Commodity and Securities Exchanges last revised: Nov 19, 2024
§ 37.1001 - Recordkeeping.

A swap execution facility shall maintain records of all activities relating to the business of the facility, in a form and manner acceptable to the Commission, for a period of at least five years. A swap execution facility shall maintain such records, including a complete audit trail for all swaps executed on or subject to the rules of the swap execution facility, investigatory files, and disciplinary files, in accordance with the requirements of § 1.31 and part 45 of this chapter.

authority: 7 U.S.C. 1a,2,5,6,6c,7,7a-2,7b-3,and,as,Pub. L. 111-203, 124 Stat. 1376
source: 78 FR 33582, June 4, 2013, unless otherwise noted.
cite as: 17 CFR 37.1001