Subjgrp 7. 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.