Regulation SE
17 CFR 242.800 - 242.835
Registration and Regulation of Security-Based Swap Execution Facilities
Rule 800 — Scope.
Rule 801 — Applicable provisions.
Rule 802 — Definitions.
Rule 803 — Requirements and procedures for registration.
Rule 804 — Listing products for trading by certification.
Rule 805 — Voluntary submission of new products for Commission review and approval.
Rule 806 — Voluntary submission of rules for Commission review and approval.
Rule 807 — Self-certification of rules.
Rule 808 — Availability of public information.
Rule 809 — Staying of certification and tolling of review period pending jurisdictional determination.
Rule 810 — Product filings by security-based swap execution facilities that are not yet registered and by dormant security-based swap execution facilities.
Rule 811 — Information relating to security-based swap execution facility compliance.
Rule 812 — Enforceability.
Rule 813 — Prohibited use of data collected for regulatory purposes.
Rule 814 — Entity operating both a national securities exchange and security-based swap execution facility.
Rule 815 — Methods of execution for Required and Permitted Transactions.
Rule 816 — Trade execution requirement and exemptions therefrom.
Rule 817 — Trade execution compliance schedule.
Core Principle 1— Compliance with core principles.
Core Principle 2 — Compliance with rules.
Core Principle 3 — Security-based swaps not readily susceptible to manipulation.
Core Principle 4 — Monitoring of trading and trade processing.
Core Principle 5 — Ability to obtain information.
Core Principle 6 — Financial integrity of transactions.
Core Principle 7 — Emergency authority.
Core Principle 8 — Timely publication of trading information.
Core Principle 9 — Recordkeeping and reporting.
Core Principle 10 — Antitrust considerations.
Core Principle 11 — Conflicts of interest.
Core Principle 12 — Financial resources.
Core Principle 13 — System safeguards.
Core Principle 14 — Designation of chief compliance officer.
Rule 832 — Application of the trade execution requirement to cross-border security-based swap transactions.
Rule 833 — Cross-border exemptions.
Rule 834 — Mitigation of conflicts of interest of security-based swap execution facilities and certain exchanges.
Rule 835 — Notice to Commission by security-based swap execution facility of final disciplinary action or denial or limitation of access.