1. Regulations
  2. title 17
  3. chapter I
  4. part 37
  5. subpart D
  6. § 37.300

Collapse to view only § 37.300 - Core Principle 3—Swaps not readily susceptible to manipulation.

§ 37.300 - Core Principle 3—Swaps not readily susceptible to manipulation.

The swap execution facility shall permit trading only in swaps that are not readily susceptible to manipulation.

AUTHORITY: 7 U.S.C. 1a, 2, 5, 6, 6c, 7, 7a-2, 7b-3, and 12a, as amended by Titles VII and VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Pub. L. 111-203, 124 Stat. 1376.

SOURCE: 78 FR 33582, June 4, 2013, unless otherwise noted.

CITE AS: 17 CFR 37.300

§ 37.301 - General requirements.

To demonstrate to the Commission compliance with the requirements of § 37.300, a swap execution facility shall, at the time it submits a new swap contract in advance to the Commission pursuant to part 40 of this chapter, provide the applicable information as set forth in appendix C to part 38 of this chapter—Demonstration of Compliance That a Contract is not Readily Susceptible to Manipulation. A swap execution facility may also refer to the guidance and/or acceptable practices in appendix B of this part.

AUTHORITY: 7 U.S.C. 1a, 2, 5, 6, 6c, 7, 7a-2, 7b-3, and 12a, as amended by Titles VII and VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Pub. L. 111-203, 124 Stat. 1376.

SOURCE: 78 FR 33582, June 4, 2013, unless otherwise noted.

CITE AS: 17 CFR 37.301