Code of Federal Regulations > Title 17 > Chapter I > Part 37 > Subpart E - Subpart E—Monitoring of Trading and Trade Processing

U.S. Code of Federal Regulations

Regulations most recently checked for updates: Oct 07, 2025

§ 37.400 - Core Principle 4—Monitoring of trading and trade processing.

§ 37.401 - General requirements.

§ 37.402 - Additional requirements for physical-delivery swaps.

§ 37.403 - Additional requirements for cash-settled swaps.

§ 37.404 - Ability to obtain information.

§ 37.405 - Risk controls for trading.

§ 37.406 - Trade reconstruction.

§ 37.407 - Regulatory service provider.

§ 37.408 - Additional sources for compliance.