17 C.F.R. § 242.814

Current through October 31, 2024
Section 242.814 - Entity operating both a national securities exchange and security-based swap execution facility
(a) An entity that intends to operate both a national securities exchange and a security-based swap execution facility shall separately register the two facilities pursuant to section 6 of the Act and § 242.803 , respectively.
(b) A national securities exchange shall, to the extent that the exchange also operates a security-based swap execution facility and uses the same electronic trade execution system for listing and executing trades of security-based swaps on or through the exchange and the facility, identify whether electronic trading of such security-based swaps is taking place on or through the national securities exchange or the security-based swap execution facility.

17 C.F.R. §242.814

88 FR 87285 , 2/13/2024