CPO/CTA Rules & Regulatory Actions

The swap execution facility shall establish and enforce rules and procedures for ensuring the financial integrity of swaps entered on or through the facilities of ...
Transactions executed on or through the swap execution facility that are required to be cleared under section 2(h)(1)(A) of the Act or are voluntarily cleared ...
A swap execution facility shall provide for the financial integrity of its transactions: (a) By establishing minimum financial standards for its members, which shall, at ...
A swap execution facility shall monitor its members to ensure that they continue to qualify as eligible contract participants as defined in section 1a(18) of ...
The swap execution facility shall adopt rules to provide for the exercise of emergency authority, in consultation or cooperation with the Commission, as is necessary ...
A swap execution facility may refer to the guidance and/or acceptable practices in Appendix B of this part to demonstrate to the Commission compliance with ...
(a) In general. The swap execution facility shall make public timely information on price, trading volume, and other trading data on swaps to the extent ...
With respect to swaps traded on or through a swap execution facility, each swap execution facility shall: (a) Report specified swap data as provided under ...
(a) In general. A swap execution facility shall: (1) Maintain records of all activities relating to the business of the facility, including a complete audit ...
A swap execution facility shall maintain records of all activities relating to the business of the facility, in a form and manner acceptable to the ...
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