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