Regulatory Alerts2013-06-04 | 2013-12242Core Principles and Other Requirements for Swap Execution Facilities
The Commodity Futures Trading Commission adopted final rules implementing Title VII of the Dodd-Frank Act to establish a regulatory framework for the registration and operation of Swap Execution Facilities. These regulations codify fifteen core principles governing SEF conduct, including requirements for market transparency, trade execution methods, financial integrity, and system safeguards. The rules mandate compliance with specific operational standards to promote pre-trade and post-trade transparency in the swaps market while harmonizing requirements with existing Designated Contract Market regulations.
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