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17 CFR 37.1001 · Recordkeeping.
17 CFR 37.1100 · Core Principle 11—Antitrust considerations.
17 CFR 37.1101 · Additional sources for compliance.
17 CFR 37.1200 · Core Principle 12—Conflicts of interest.
17 CFR 37.1300 · Core Principle 13—Financial resources.
17 CFR 37.1301 · General requirements.
17 CFR 37.1302 · Types of financial resources.
17 CFR 37.1303 · Liquidity of financial resources.
17 CFR 37.1304 · Computation of costs to meet financial resources requirement.
17 CFR 37.1305 · Valuation of financial resources.
17 CFR 37.1306 · Reporting to the Commission.
17 CFR 37.1307 · Delegation of authority.
17 CFR 37.1400 · Core Principle 14—System safeguards.
17 CFR 37.1401 · Requirements.
17 CFR 37.1500 · Core Principle 15—Designation of chief compliance officer.
17 CFR 37.1501 · Chief compliance officer.
17 CFR Appendix A to Part 37 · Appendix A to Part 37—Form SEF
17 CFR Appendix B to Part 37 · Appendix B to Part 37—Guidance on, and Acceptable Practices in, Compliance with Core Principles
17 CFR 38.1 · Scope.
17 CFR 38.2 · Exempt provisions.
17 CFR 38.3 · Procedures for designation.
17 CFR 38.4 · Procedures for listing products and implementing contract market rules.
17 CFR 38.5 · Information relating to contract market compliance.
17 CFR 38.6 · Enforceability.
17 CFR 38.7 · Prohibited use of data collected for regulatory purposes.
17 CFR 38.8 · Listing of swaps on a designated contract market.
17 CFR 38.9 · Boards of trade operating both a designated contract market and a swap execution facility.
17 CFR 38.10 · Reporting of swaps traded on a designated contract market.
17 CFR 38.11 · Trade execution compliance schedule.
17 CFR 38.12 · Process for a designated contract market to make a swap available to trade.
17 CFR 38.100 · Core Principle 1.
17 CFR 38.150 · Core Principle 2.
17 CFR 38.151 · Access requirements.
17 CFR 38.152 · Abusive trading practices prohibited.
17 CFR 38.153 · Capacity to detect and investigate rule violations.
17 CFR 38.154 · Regulatory services provided by a third party.
17 CFR 38.155 · Compliance staff and resources.
17 CFR 38.156 · Automated trade surveillance system.
17 CFR 38.157 · Real-time market monitoring.
17 CFR 38.158 · Investigations and investigation reports.
17 CFR 38.159 · Ability to obtain information.
17 CFR 38.160 · Additional sources for compliance.
17 CFR 38.200 · Core Principle 3.
17 CFR 38.201 · Additional sources for compliance.
17 CFR 38.250 · Core Principle 4.
17 CFR 38.251 · General requirements.
17 CFR 38.252 · Additional requirements for physical-delivery contracts.
17 CFR 38.253 · Additional requirements for cash-settled contracts.
17 CFR 38.254 · Ability to obtain information.
17 CFR 38.255 · Risk controls for trading.
17 CFR 38.256 · Trade reconstruction.
17 CFR 38.257 · Regulatory service provider.
17 CFR 38.258 · Additional sources for compliance.
17 CFR 38.300 · Core Principle 5.
17 CFR 38.301 · Position limitations and accountability.
17 CFR 38.350 · Core Principle 6.
17 CFR 38.351 · Additional sources for compliance.
17 CFR 38.400 · Core Principle 7.
17 CFR 38.401 · General requirements.
17 CFR 38.450 · Core Principle 8.
17 CFR 38.451 · Reporting of trade information.
17 CFR 38.500 · Core Principle 9.
17 CFR 38.550 · Core Principle 10.
17 CFR 38.551 · Audit trail required.
17 CFR 38.552 · Elements of an acceptable audit trail program.
17 CFR 38.553 · Enforcement of audit trail requirements.
17 CFR 38.600 · Core Principle 11.
17 CFR 38.601 · Mandatory clearing.
17 CFR 38.602 · General financial integrity.
17 CFR 38.603 · Protection of customer funds.
17 CFR 38.604 · Financial surveillance.
17 CFR 38.605 · Requirements for financial surveillance program.
17 CFR 38.606 · Financial regulatory services provided by a third party.
17 CFR 38.607 · Direct access.
17 CFR 38.650 · Core Principle 12.
17 CFR 38.651 · Protection of markets and market participants.
17 CFR 38.700 · Core Principle 13.
17 CFR 38.701 · Enforcement staff.
17 CFR 38.702 · Disciplinary panels.
17 CFR 38.703 · Notice of charges.
17 CFR 38.704 · Right to representation.
17 CFR 38.705 · Answer to charges.
17 CFR 38.706 · Denial of charges and right to hearing.
17 CFR 38.707 · Hearings.
17 CFR 38.708 · Decisions.
17 CFR 38.709 · Final decisions.
17 CFR 38.710 · Disciplinary sanctions.
17 CFR 38.711 · Warning letters.
17 CFR 38.712 · Additional sources for compliance.
17 CFR 38.750 · Core Principle 14.
17 CFR 38.751 · Additional sources for compliance.
17 CFR 38.800 · Core Principle 15.
17 CFR 38.801 · Additional sources for compliance.
17 CFR 38.850 · Core Principle 16.
17 CFR 38.851 · Additional sources for compliance.
17 CFR 38.900 · Core Principle 17.
17 CFR 38.950 · Core Principle 18.
17 CFR 38.951 · Additional sources for compliance.
17 CFR 38.1000 · Core Principle 19.
17 CFR 38.1001 · Additional sources for compliance.