Federal (United States) · Regulations
Subpart E — Monitoring of Trading and Trade Processing
9 sections
9 sections
- 17 C.F.R. § 37.400Core Principle 4—Monitoring of trading and trade processing.
- 17 C.F.R. § 37.401General requirements.
- 17 C.F.R. § 37.402Additional requirements for physical-delivery swaps.
- 17 C.F.R. § 37.403Additional requirements for cash-settled swaps.
- 17 C.F.R. § 37.404Ability to obtain information.
- 17 C.F.R. § 37.405Risk controls for trading.
- 17 C.F.R. § 37.406Trade reconstruction.
- 17 C.F.R. § 37.407Regulatory service provider.
- 17 C.F.R. § 37.408Additional sources for compliance.