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Regulation SE—Registration and Regulation of Security-Based Swap Execution Facilities | Midpage
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Code of Federal Regulations
Title 17
Chapter II
Part 242
ECFR42443f161cbf585
Regulation SE—Registration and Regulation of Security-Based Swap Execution Facilities
242.800
Scope.
242.801
Applicable provisions.
242.802
Definitions.
242.803
Requirements and procedures for registration.
242.804
Listing products for trading by certification.
242.805
Voluntary submission of new products for Commission review and approval.
242.806
Voluntary submission of rules for Commission review and approval.
242.807
Self-certification of rules.
242.808
Availability of public information.
242.809
Staying of certification and tolling of review period pending jurisdictional determination.
242.810
Product filings by security-based swap execution facilities that are not yet registered and by dormant security-based swap execution facilities.
242.811
Information relating to security-based swap execution facility compliance.
242.812
Enforceability.
242.813
Prohibited use of data collected for regulatory purposes.
242.814
Entity operating both a national securities exchange and security-based swap execution facility.
242.815
Methods of execution for Required and Permitted Transactions.
242.816
Trade execution requirement and exemptions therefrom.
242.817
Trade execution compliance schedule.
242.818
Core Principle 1—Compliance with core principles.
242.819
Core Principle 2—Compliance with rules.
242.820
Core Principle 3—Security-based swaps not readily susceptible to manipulation.
242.821
Core Principle 4—Monitoring of trading and trade processing.
242.822
Core Principle 5—Ability to obtain information.
242.823
Core Principle 6—Financial integrity of transactions.
242.824
Core Principle 7—Emergency authority.
242.825
Core Principle 8—Timely publication of trading information.
242.826
Core Principle 9—Recordkeeping and reporting.
242.827
Core Principle 10—Antitrust considerations.
242.828
Core Principle 11—Conflicts of interest.
242.829
Core Principle 12—Financial resources.
242.830
Core Principle 13—System safeguards.
242.831
Core Principle 14—Designation of chief compliance officer.
242.832
Application of the trade execution requirement to cross-border security-based swap transactions.
242.833
Cross-border exemptions.
242.834
Mitigation of conflicts of interest of security-based swap execution facilities and certain exchanges.
242.835
Notice to Commission by security-based swap execution facility of final disciplinary action or denial or limitation of access.