§ 37.404. Ability to obtain information.
116 words·~1 min read·
/us/cfr/t17/s§ 37.404·A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
(a)A swap execution facility shall demonstrate that it has access to sufficient information to assess whether trading in swaps listed on its market, in the index or instrument used as a reference price, or in the underlying commodity for its listed swaps is being used to affect prices on its market.
(b)A swap execution facility shall have rules that require its market participants to keep records of their trading, including records of their activity in the index or instrument used as a reference price, the underlying commodity, and related derivatives markets, and make such records available, upon request, to the swap execution facility or, if applicable, to its regulatory service provider, and the Commission.
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§ 37.404
Ability to obtain information.
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