GroundRules
← Search the law
Federal regulations · Through 2026-08-25 · Newer source version available

17 CFR 242.814: Entity operating both a national securities exchange and security-based swap execution facility.

Read at publisher ↗
Where this section sits in the code
  1. Title 17—Commodity and Securities Exchanges
  2. CHAPTER II—SECURITIES AND EXCHANGE COMMISSION
  3. PART 242—REGULATIONS M, SHO, ATS, AC, NMS, SE, AND SBSR, AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES

(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.

Collected 2026-08-27T02:24:31Z. Source file · JSON

Browse this collection