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Code of Federal Regulations Title 17. Commodity and Securities Exchanges § 17.37.400 Core Principle 4—Monitoring of trading and trade processing

Current as of October 02, 2022 | Updated by FindLaw Staff

The swap execution facility shall:

(a) Establish and enforce rules or terms and conditions defining, or specifications detailing:

(1) Trading procedures to be used in entering and executing orders traded on or through the facilities of the swap execution facility;  and

(2) Procedures for trade processing of swaps on or through the facilities of the swap execution facility;  and

(b) Monitor trading in swaps to prevent manipulation, price distortion, and disruptions of the delivery or cash settlement process through surveillance, compliance, and disciplinary practices and procedures, including methods for conducting real-time monitoring of trading and comprehensive and accurate trade reconstructions.

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Cite this article: FindLaw.com - Code of Federal Regulations Title 17. Commodity and Securities Exchanges § 17.37.400 Core Principle 4—Monitoring of trading and trade processing - last updated October 02, 2022 | https://codes.findlaw.com/cfr/title-17-commodity-and-securities-exchanges/cfr-sect-17-37-400/

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