Source: https://www.lawlio.com/regulations/17/cfr
Timestamp: 2019-04-21 06:27:59+00:00

Document:
§ 1.2 Liability of principal for act of agent.
§ 1.4 Electronic signatures, acknowledgments and verifications.
§ 1.7 Books and records requirements for security-based swap agreements.
§ 1.8 Requests for interpretation of swaps, security-based swaps, and mixed swaps.
§ 1.9 Regulation of mixed swaps.
§ 1.10 Financial reports of futures commission merchants and introducing brokers.
§ 1.11 Risk Management Program for futures commission merchants.
§ 1.12 Maintenance of minimum financial requirements by futures commission merchants and introducing brokers.
§ 1.14 Risk assessment recordkeeping requirements for futures commission merchants.
§ 1.15 Risk assessment reporting requirements for futures commission merchants.
§ 1.16 Qualifications and reports of accountants.
§ 1.17 Minimum financial requirements for futures commission merchants and introducing brokers.
§ 1.18 Records for and relating to financial reporting and monthly computation by futures commission merchants and introducing brokers.
§ 1.19 Prohibited trading in certain “puts” and “calls”.
§ 1.21 Care of money and equities accruing to futures customers.
§ 1.23 Interest of futures commission merchant in segregated futures customer funds; additions and withdrawals.
§ 1.24 Segregated funds; exclusions therefrom.
§ 1.25 Investment of customer funds.
§ 1.26 Deposit of instruments purchased with futures customer funds.
§ 1.27 Record of investments.
§ 1.28 Appraisal of instruments purchased with customer funds.
§ 1.29 Gains and losses resulting from investment of customer funds.
§ 1.30 Loans by futures commission merchants; treatment of proceeds.
§ 1.31 Books and records; keeping and inspection.
§ 1.32 Reporting of segregated account computation and details regarding the holding of futures customer funds.
§ 1.33 Monthly and confirmation statements.
§ 1.34 Monthly record, “point balance”.
§ 1.35 Records of commodity interest and related cash or forward transactions.
§ 1.36 Record of securities and property received from customers.
§ 1.37 Customer's name, address, and occupation recorded; record of guarantor or controller of account.
§ 1.38 Execution of transactions.
§ 1.39 Simultaneous buying and selling orders of different principals; execution of, for and between principals.
§ 1.40 Crop, market information letters, reports; copies required.
§ 1.46 Application and closing out of offsetting long and short positions.
§ 1.49 Denomination of customer funds and location of depositories.
§ 1.52 Self-regulatory organization adoption and surveillance of minimum financial requirements.
§ 1.54 Contract market rules submitted to and approved or not disapproved by the Secretary of Agriculture.
§ 1.55 Public disclosures by futures commission merchants.
§ 1.56 Prohibition of guarantees against loss.
§ 1.57 Operations and activities of introducing brokers.
§ 1.58 Gross collection of exchange-set margins.
§ 1.59 Activities of self-regulatory organization employees, governing board members, committee members, and consultants.
§ 1.60 Pending legal proceedings.
§ 1.63 Service on self-regulatory organization governing boards or committees by persons with disciplinary histories.
§ 1.64 Composition of various self-regulatory organization governing boards and major disciplinary committees.
§ 1.65 Notice of bulk transfers and disclosure obligations to customers.
§ 1.66 No-action positions with respect to floor traders.
§ 1.67 Notification of final disciplinary action involving financial harm to a customer.
§ 1.69 Voting by interested members of self-regulatory organization governing boards and various committees.
§ 1.70 Notification of State enforcement actions brought under the Commodity Exchange Act.
§ 1.71 Conflicts of interest policies and procedures by futures commission merchants and introducing brokers.
§ 1.72 Restrictions on customer clearing arrangements.
§ 1.73 Clearing futures commission merchant risk management.
§ 1.74 Futures commission merchant acceptance for clearing.
§ 1.75 Delegation of authority to the Director of the Division of Clearing and Risk to establish an alternative compliance schedule to comply with futures commission merchant acceptance for clearing.
§ 2.2 Authority to affix seal.
§ 2.3 Prohibitions against misuse of seal.
§ 2.4 Employee Recreation Association's use of Commission seal.
§ 3.2 Registration processing by the National Futures Association; notification and duration of registration.
§ 3.3 Chief compliance officer.
§ 3.4 Registration in one capacity not included in registration in any other capacity.
§ 3.10 Registration of futures commission merchants, retail foreign exchange dealers, introducing brokers, commodity trading advisors, commodity pool operators, swap dealers, major swap participants and leverage transaction merchants.
§ 3.11 Registration of floor brokers and floor traders.
§ 3.12 Registration of associated persons of futures commission merchants, retail foreign exchange dealers, introducing brokers, commodity trading advisors, commodity pool operators and leverage transaction merchants.
§ 3.21 Exemption from fingerprinting requirement in certain cases.
§ 3.30 Current address for purpose of delivery of communications from the Commission or the National Futures Association.
§ 3.31 Deficiencies, inaccuracies, and changes, to be reported.
§ 3.33 Withdrawal from registration.
§ 3.40 Temporary licensing of applicants for associated person, floor broker or floor trader registration.
§ 3.43 Relationship to registration.
§ 3.44 Temporary licensing of applicants for guaranteed introducing broker registration.
§ 3.45 Restrictions upon activities.
§ 3.47 Relationship to registration.
§ 3.51 Withdrawal of application for registration.
§ 3.55 Suspension and revocation of registration pursuant to section 8a(2) of the Act.
§ 3.56 Suspension or modification of registration pursuant to section 8a(11) of the Act.
§ 3.57 Proceedings under section 8a(2)(E) of the Act.
§ 3.60 Procedure to deny, condition, suspend, revoke or place restrictions upon registration pursuant to sections 8a(2), 8a(3) and 8a(4) of the Act.
§ 3.61 Extensions of time for proceedings brought under § 3.55, § 3.56, and § 3.60 of this part.
§ 3.63 Service of order issued by an Administrative Law Judge or the Commission.
§ 3.64 Procedure to lift or modify conditions or restrictions.
§ 3.70 Notification of certain information regarding associated persons.
§ 3.75 Delegation and reservation of authority.
§ 4.1 Requirements as to form.
§ 4.7 Exemption from certain part 4 requirements for commodity pool operators with respect to offerings to qualified eligible persons and for commodity trading advisors with respect to advising qualified eligible persons.
§ 4.8 Exemption from certain requirements of rule 4.26 with respect to pools offered or sold in certain offerings exempt from registration under the Securities Act.
§ 4.11 Exemption from section 4n(3)(B).
§ 4.12 Exemption from provisions of part 4.
§ 4.13 Exemption from registration as a commodity pool operator.
§ 4.14 Exemption from registration as a commodity trading advisor.
§ 4.15 Continued applicability of antifraud section.
§ 4.21 Required delivery of pool Disclosure Document.
§ 4.22 Reporting to pool participants.
§ 4.24 General disclosures required.
§ 4.26 Use, amendment and filing of Disclosure Document.
§ 4.27 Additional reporting by advisors of certain large commodity pools.
§ 4.31 Required delivery of Disclosure Document to prospective clients.
§ 4.34 General disclosures required.
§ 4.36 Use, amendment and filing of Disclosure Document.
§ 4.41 Advertising by commodity pool operators, commodity trading advisors, and the principals thereof.
§ 5.3 Registration of persons engaged in retail forex transactions.
§ 5.4 Applicability of part 4 of this chapter to commodity pool operators and commodity trading advisors.
§ 5.5 Distribution of “Risk Disclosure Statement” by retail foreign exchange dealers, futures commission merchants and introducing brokers regarding retail forex transactions.
§ 5.6 Maintenance of minimum financial requirements by retail foreign exchange dealers and futures commission merchants offering or engaging in retail forex transactions.
§ 5.7 Minimum financial requirements for retail foreign exchange dealers and futures commission merchants offering or engaging in retail forex transactions.
§ 5.8 Aggregate retail forex assets.
§ 5.9 Security deposits for retail forex transactions.
§ 5.10 Risk assessment recordkeeping requirements for retail foreign exchange dealers.
§ 5.11 Risk assessment reporting requirements for retail foreign exchange dealers.
§ 5.12 Financial reports of retail foreign exchange dealers.
§ 5.13 Reporting to customers of retail foreign exchange dealers and futures commission merchants; monthly and confirmation statements.
§ 5.14 Records to be kept by retail foreign exchange dealers and futures commission merchants.
§ 5.16 Prohibition of guarantees against loss.
§ 5.17 Authorization to trade.
§ 5.18 Trading and operational standards.
§ 5.19 Pending legal proceedings.
§ 5.20 Special calls for account and transaction information.
§ 5.22 Registered futures association membership.
§ 5.23 Notice of bulk transfers and bulk liquidations.
§ 5.25 Applicability of the Act.
§ 7.1 Scope of rules.
§ 9.1 Scope of rules.
§ 9.4 Filing and service; official docket.
§ 9.6 Sanctions for noncompliance.
§ 9.8 Practice before the Commission.
§ 9.9 Waiver of rules; delegation of authority.
§ 9.11 Form, contents and delivery of notice of disciplinary or access denial action.
§ 9.12 Effective date of disciplinary or access denial action.
§ 9.13 Publication of notice.
§ 9.20 Notice of appeal.
§ 9.21 Record of exchange proceeding.
§ 9.24 Petition for stay pending review.
§ 9.25 Limited participation of interested persons.
§ 9.26 Participation of Commission staff.
§ 9.30 Scope of review.
§ 9.31 Commission review of disciplinary or access denial action on its own motion.
§ 9.33 Final decision by the Commission.
§ 10.1 Scope and applicability of rules of practice.
§ 10.3 Suspension, amendment, revocation and waiver of rules.
§ 10.4 Business address; hours.
§ 10.5 Computation of time.
§ 10.6 Changes in time permitted for filing.
§ 10.7 Date of entry of orders.
§ 10.9 Separation of functions.
§ 10.10 Ex parte communications.
§ 10.11 Appearance in adjudicatory proceedings.
§ 10.12 Service and filing of documents; form and execution.
§ 10.21 Commencement of the proceeding.
§ 10.22 Complaint and notice of hearing.
§ 10.24 Amendments and supplemental pleadings.
§ 10.25 Form of pleadings.
§ 10.26 Motions and other papers.
§ 10.32 Substitution of parties.
§ 10.33 Intervention as a party.
§ 10.35 Permission to state views.
§ 10.36 Commission review of rulings.
§ 10.41 Prehearing conferences; procedural matters.
§ 10.44 Depositions and interrogatories.
§ 10.61 Time and place of hearing.
§ 10.63 Consolidation; separate hearings.
§ 10.65 Record of hearing.
§ 10.66 Conduct of the hearing.
§ 10.81 Filing the transcript of evidence.
§ 10.82 Proposed findings and conclusions; briefs.
§ 10.93 Obtaining default order.
§ 10.94 Setting aside of default.
§ 10.102 Review of initial decisions.
§ 10.103 Oral argument before the Commission.
§ 10.104 Scope of review; Commission decision.
§ 10.105 Review by Commission on its own initiative.
§ 10.106 Reconsideration; stay pending judicial review.
§ 10.107 Leave to adduce additional evidence.
§ 10.109 Delegation of authority to Chief of the Opinions Section.
§ 10.110 Basis for issuance of restitution orders.
§ 10.111 Recommendation of procedure for implementing restitution.
§ 10.112 Administration of restitution.
§ 10.113 Right to challenge distribution of funds to customers.
§ 10.114 Acceleration of establishment of restitution procedure.
§ 11.1 Scope and applicability of rules.
§ 11.2 Authority to conduct investigations.
§ 11.3 Confidentiality of investigations.
§ 11.6 Oath; false statements.
§ 11.7 Rights of witnesses.
§ 12.1 Scope and applicability of rules of practice relating to reparations.
§ 12.3 Business address; hours.
§ 12.4 Suspension, amendment, revocation and waiver of rules.
§ 12.5 Computation of time.
§ 12.6 Extensions of time; adjournments; postponements.
§ 12.7 Ex parte communications in reparation proceedings.
§ 12.8 Separation of functions.
§ 12.9 Practice before the Commission.
§ 12.11 Formalities of filing of documents with the Proceedings Clerk.
§ 12.13 Complaint; election of procedure.
§ 12.14 Withdrawal of complaint.
§ 12.15 Notification of complaint.
§ 12.16 Response to complaint.
§ 12.17 Satisfaction of complaint.
§ 12.18 Answer; election of procedure.
§ 12.20 Response to counterclaim; reply; election of procedure.
§ 12.23 Setting aside of default.
§ 12.26 Commencement of a reparation proceeding.
§ 12.27 Termination of consideration of pleadings.
§ 12.30 Methods of discovery.
§ 12.31 Production of documents and tangible items.
§ 12.32 Depositions on written interrogatories.
§ 12.34 Discovery by a decisionmaking official.
§ 12.35 Consequences of a party's failure to comply with a discovery order.
§ 12.36 Subpoenas to compel discovery.
§ 12.100 Scope and applicability of rules.
§ 12.101 Functions and responsibilities of the Judgment Officer.
§ 12.102 Disqualification of Judgment Officer.
§ 12.103 Filing of documents; subscription; service.
§ 12.104 Amendments to pleadings; motions.
§ 12.105 Submission of proof only in documentary or tangible form.
§ 12.106 Final decision and order.
§ 12.200 Scope and applicability of rules.
§ 12.201 Functions and responsibilities of the Judgment Officer.
§ 12.202 Disqualification of Judgment Officer.
§ 12.203 Filing of documents; subscription; service.
§ 12.204 Amended and supplemental pleadings.
§ 12.208 Submissions of proof.
§ 12.300 Scope and applicability of rules.
§ 12.304 Functions and responsibilities of the Administrative Law Judge.
§ 12.305 Disqualification of Administrative Law Judge.
§ 12.306 Filing of documents; subscription; service.
§ 12.307 Amended and supplemental pleadings.
§ 12.309 Interlocutory review by the Commission.
§ 12.311 Disposition of proceeding or issues without oral hearing.
§ 12.313 Subpoenas for attendance at an oral hearing.
§ 12.315 Consequences of overstating damages claims not in excess of $30,000.
§ 12.400 Scope and applicability of rules.
§ 12.401 Appeal to the Commission.
§ 12.402 Appeal of disposition of less than all claims or parties in a proceeding.
§ 12.403 Commission review on its own motion.
§ 12.404 The record of proceedings.
§ 12.405 Leave to adduce additional evidence.
§ 12.406 Final decision of the Commission.
§ 12.407 Satisfaction of reparation award; enforcement; sanctions.
§ 12.408 Delegation of authority to the General Counsel.
§ 13.2 Petition for issuance, amendment, or repeal of a rule.
§ 13.3 Notice of proposed rulemaking.
§ 13.4 Public participation in rulemaking.
§ 13.5 Exceptions to notice requirement and public participation.
§ 13.6 Promulgation of rules; publication.
§ 14.2 Definitions of appearance and practice.
§ 14.4 Violation of Commodity Exchange Act.
§ 14.6 Disbarment or suspension by licensing authority.
§ 14.7 Finding of violation of Commodity Exchange Act or Federal securities laws in another proceeding.
§ 14.8 Lack of requisite qualifications, character and integrity.
§ 14.9 Duty to file information concerning adverse judicial or administrative action.
§ 15.00 Definitions of terms used in parts 15 to 19, and 21 of this chapter.
§ 15.01 Persons required to report.
§ 15.04 Reportable trading volume level.
§ 15.05 Designation of agent for foreign persons.
§ 16.00 Clearing member reports.
§ 16.01 Publication of market data on futures, swaps and options thereon: trading volume, open contracts, prices, and critical dates.
§ 16.02 Daily trade and supporting data reports.
§ 16.06 Errors or omissions.
§ 16.07 Delegation of authority to the Director of the Division of Market Oversight.
§ 17.00 Information to be furnished by futures commission merchants, clearing members and foreign brokers.
§ 17.01 Identification of special accounts, volume threshold accounts, and omnibus accounts.
§ 17.02 Form, manner and time of filing reports.
§ 17.03 Delegation of authority to the Director of the Office of Data and Technology or the Director of the Division of Market Oversight.
§ 17.04 Reporting omnibus accounts to reporting firms.
§ 18.00 Information to be furnished by traders.
§ 18.01 Interest in or control of several accounts.
§ 18.03 Delegation of authority to the Director of the Division of Market and Oversight.
§ 18.04 Statement of reporting trader.
§ 18.05 Maintenance of books and records.
§ 19.01 Reports on stocks and fixed price purchases and sales pertaining to futures positions in wheat, corn, oats, soybeans, soybean oil, soybean meal or cotton.
§ 19.02 Reports pertaining to cotton call purchases and sales.
§ 20.5 Series S filings.
§ 20.6 Maintenance of books and records.
§ 20.7 Form and manner of reporting and submitting information or filings.
§ 20.8 Delegation of authority to the Director of the Division of Market Oversight.
§ 20.11 Diversified commodity indices.
§ 21.00 Preparation and transmission of information upon special call.
§ 21.01 Special calls for information on controlled accounts from futures commission merchants, clearing members and introducing brokers.
§ 21.02 Special calls for information on open contracts in accounts carried or introduced by futures commission merchants, clearing members, members of reporting markets, introducing brokers, and foreign brokers.
§ 21.03 Selected special calls-duties of foreign brokers, domestic and foreign traders, futures commission merchants, clearing members, introducing brokers, and reporting markets.
§ 21.04 Special calls for information on customer accounts or related cleared positions.
§ 21.05 Delegation of authority to the Director of the Division of Market Oversight.
§ 21.06 Delegation of authority to the Director of the Division of Clearing and Risk.
§ 22.2 Futures Commission Merchants: Treatment of Cleared Swaps and Associated Cleared Swaps Customer Collateral.
§ 22.3 Derivatives clearing organizations: Treatment of cleared swaps customer collateral.
§ 22.4 Futures Commission Merchants and derivatives clearing organizations: Permitted Depositories.
§ 22.5 Futures commission merchants and derivatives clearing organizations: Written acknowledgement.
§ 22.6 Futures commission merchants and derivatives clearing organizations: Naming of Cleared Swaps Customer Accounts.
§ 22.7 Permitted depositories: Treatment of Cleared Swaps Customer Collateral.
§ 22.8 Situs of Cleared Swaps Customer Accounts.
§ 22.9 Denomination of Cleared Swaps Customer Collateral and location of depositories.
§ 22.10 Application of other regulatory provisions.
§ 22.11 Information to be provided regarding Cleared Swaps Customers and their Cleared Swaps.
§ 22.12 Information to be maintained regarding Cleared Swaps Customer Collateral.
§ 22.13 Additions to Cleared Swaps Customer Collateral.
§ 22.14 Futures Commission Merchant failure to meet a Cleared Swaps Customer Margin Call in full.
§ 22.15 Treatment of Cleared Swaps Customer Collateral on an individual basis.
§ 22.16 Disclosures to Cleared Swaps Customers.
§ 22.17 Policies and procedures governing disbursements of Cleared Swaps Customer Collateral from Cleared Swaps Customer Accounts.
§ 23.151 Definitions applicable to margin requirements.
§ 23.152 Collection and posting of initial margin.
§ 23.153 Collection and posting of variation margin.
§ 23.154 Calculation of initial margin.
§ 23.155 Calculation of variation margin.
§ 23.156 Forms of margin.
§ 23.159 Special rules for affiliates.
§ 23.202 Daily trading records.
§ 23.203 Records; retention and inspection.
§ 23.204 Reports to swap data repositories.
§ 23.205 Real-time public reporting.
§ 23.206 Delegation of authority to the Director of the Division of Swap Dealer and Intermediary Oversight to establish an alternative compliance schedule to comply with daily trading records.
§ 23.410 Prohibition on fraud, manipulation, and other abusive practices.
§ 23.430 Verification of counterparty eligibility.
§ 23.431 Disclosures of material information.
§ 23.433 Communications - fair dealing.
§ 23.434 Recommendations to counterparties - institutional suitability.
§ 23.440 Requirements for swap dealers acting as advisors to Special Entities.
§ 23.450 Requirements for swap dealers and major swap participants acting as counterparties to Special Entities.
§ 23.451 Political contributions by certain swap dealers.
§ 23.504 Swap trading relationship documentation.
§ 23.505 End user exception documentation.
§ 23.506 Swap processing and clearing.
§ 23.600 Risk Management Program for swap dealers and major swap participants.
§ 23.601 Monitoring of position limits.
§ 23.603 Business continuity and disaster recovery.
§ 23.605 Conflicts of interest policies and procedures.
§ 23.606 General information: availability for disclosure and inspection.
§ 23.608 Restrictions on counterparty clearing relationships.
§ 23.609 Clearing member risk management.
§ 23.610 Clearing member acceptance for clearing.
§ 23.611 Delegation of authority to the Director of the Division of Clearing and Risk to establish an alternative compliance schedule to comply with clearing member acceptance for clearing.
§ 23.701 Notification of right to segregation.
§ 23.702 Requirements for segregated margin.
§ 23.703 Investment of segregated margin.
§ 23.704 Requirements for non-segregated margin.
§ 31.3 Fraud in connection with certain transactions in silver or gold bullion or bulk coins, or other commodities.
§ 31.6 Registration of leverage commodities.
§ 31.7 Maintenance of minimum financial, cover and segregation requirements by leverage transaction merchants.
§ 31.8 Cover of leverage contracts.
§ 31.9 Minimum financial requirements.
§ 31.10 Repurchase and resale of leverage contracts by leverage transaction merchants.
§ 31.13 Financial reports of leverage transaction merchants.
§ 31.15 Reporting to leverage customers.
§ 31.16 Monthly reporting requirements.
§ 31.17 Records of leverage transactions.
§ 31.20 Prohibition of guarantees against loss.
§ 31.21 Leverage contracts entered into prior to April 13, 1984; subsequent transactions.
§ 31.22 Prohibited trading in leverage contracts.
§ 31.23 Limited right to rescind first leverage contract.
§ 31.25 Bid and ask prices; carrying charges.
§ 31.26 Quarterly reporting requirement.
§ 31.27 Registered futures association membership.
§ 31.28 Self-regulatory organization adoption and surveillance of minimum financial, cover, segregation and sales practice requirements.
§ 31.29 Arbitration or other dispute settlement procedures.
§ 32.2 Commodity option transactions; general authorization.
§ 32.4 Fraud in connection with commodity option transactions.
§ 32.5 Option transactions entered into prior to the effective date of this part.
§ 33.2 Applicability of Act and rules; scope of part 33.
§ 33.3 Unlawful commodity option transactions.
§ 33.4 Designation as a contract market for the trading of commodity options.
§ 33.5 Application for designation as a contract market for the trading of commodity options.
§ 33.6 Suspension or revocation of designation as a contract market for the trading of commodity options.
§ 33.10 Fraud in connection with commodity option transactions.
§ 34.3 Hybrid instrument exemption.
§ 35.1 Agricultural swaps, generally.
§ 37.3 Requirements and procedures for registration.
§ 37.4 Procedures for listing products and implementing rules.
§ 37.5 Information relating to swap execution facility compliance.
§ 37.7 Prohibited use of data collected for regulatory purposes.
§ 37.8 Boards of trade operating both a designated contract market and a swap execution facility.
§ 37.9 Methods of execution for required and permitted transactions.
§ 37.10 Process for a swap execution facility to make a swap available to trade.
§ 37.12 Trade execution compliance schedule.
§ 37.100 Core Principle 1 - Compliance with core principles.
§ 37.200 Core Principle 2 - Compliance with rules.
§ 37.201 Operation of swap execution facility and compliance with rules.
§ 37.203 Rule enforcement program.
§ 37.204 Regulatory services provided by a third party.
§ 37.206 Disciplinary procedures and sanctions.
§ 37.300 Core Principle 3 - Swaps not readily susceptible to manipulation.
§ 37.400 Core Principle 4 - Monitoring of trading and trade processing.
§ 37.402 Additional requirements for physical-delivery swaps.
§ 37.403 Additional requirements for cash-settled swaps.
§ 37.404 Ability to obtain information.
§ 37.405 Risk controls for trading.
§ 37.407 Regulatory service provider.
§ 37.408 Additional sources for compliance.
§ 37.500 Core Principle 5 - Ability to obtain information.
§ 37.501 Establish and enforce rules.
§ 37.502 Collection of information.
§ 37.503 Provide information to the Commission.
§ 37.600 Core Principle 6 - Position limits or accountability.
§ 37.601 Additional sources for compliance.
§ 37.700 Core Principle 7 - Financial integrity of transactions.
§ 37.702 General financial integrity.
§ 37.703 Monitoring for financial soundness.
§ 37.800 Core Principle 8 - Emergency authority.
§ 37.801 Additional sources for compliance.
§ 37.900 Core Principle 9 - Timely publication of trading information.
§ 37.1000 Core Principle 10 - Recordkeeping and reporting.
§ 37.1100 Core Principle 11 - Antitrust considerations.
§ 37.1101 Additional sources for compliance.
§ 37.1200 Core Principle 12 - Conflicts of interest.
§ 37.1300 Core Principle 13 - Financial resources.
§ 37.1302 Types of financial resources.
§ 37.1303 Computation of projected operating costs to meet financial resource requirement.
§ 37.1304 Valuation of financial resources.
§ 37.1305 Liquidity of financial resources.
§ 37.1306 Reporting to the Commission.
§ 37.1307 Delegation of authority.
§ 37.1400 Core Principle 14 - System safeguards.
§ 37.1500 Core Principle 15 - Designation of chief compliance officer.
§ 37.1501 Chief compliance officer.
§ 38.3 Procedures for designation.
§ 38.4 Procedures for listing products and implementing contract market rules.
§ 38.5 Information relating to contract market compliance.
§ 38.7 Prohibited use of data collected for regulatory purposes.
§ 38.8 Listing of swaps on a designated contract market.
§ 38.9 Boards of trade operating both a designated contract market and a swap execution facility.
§ 38.10 Reporting of swaps traded on a designated contract market.
§ 38.11 Trade execution compliance schedule.
§ 38.12 Process for a designated contract market to make a swap available to trade.
§ 38.100 Core Principle 1.
§ 38.150 Core Principle 2.
§ 38.152 Abusive trading practices prohibited.
§ 38.153 Capacity to detect and investigate rule violations.
§ 38.154 Regulatory services provided by a third party.
§ 38.155 Compliance staff and resources.
§ 38.156 Automated trade surveillance system.
§ 38.157 Real-time market monitoring.
§ 38.158 Investigations and investigation reports.
§ 38.159 Ability to obtain information.
§ 38.160 Additional sources for compliance.
§ 38.200 Core Principle 3.
§ 38.201 Additional sources for compliance.
§ 38.250 Core Principle 4.
§ 38.252 Additional requirements for physical-delivery contracts.
§ 38.253 Additional requirements for cash-settled contracts.
§ 38.254 Ability to obtain information.
§ 38.255 Risk controls for trading.
§ 38.257 Regulatory service provider.
§ 38.258 Additional sources for compliance.
§ 38.300 Core Principle 5.
§ 38.301 Position limitations and accountability.
§ 38.350 Core Principle 6.
§ 38.351 Additional sources for compliance.
§ 38.400 Core Principle 7.
§ 38.450 Core Principle 8.
§ 38.451 Reporting of trade information.
§ 38.500 Core Principle 9.
§ 38.550 Core Principle 10.
§ 38.551 Audit trail required.
§ 38.552 Elements of an acceptable audit trail program.
§ 38.553 Enforcement of audit trail requirements.
§ 38.600 Core Principle 11.
§ 38.602 General financial integrity.
§ 38.603 Protection of customer funds.
§ 38.605 Requirements for financial surveillance program.
§ 38.606 Financial regulatory services provided by a third party.
§ 38.650 Core Principle 12.
§ 38.651 Protection of markets and market participants.
§ 38.700 Core Principle 13.
§ 38.703 Notice of charges.
§ 38.704 Right to representation.
§ 38.705 Answer to charges.
§ 38.706 Denial of charges and right to hearing.
§ 38.712 Additional sources for compliance.
§ 38.750 Core Principle 14.
§ 38.751 Additional sources for compliance.
§ 38.800 Core Principle 15.
§ 38.801 Additional sources for compliance.
§ 38.850 Core Principle 16.
§ 38.851 Additional sources for compliance.
§ 38.900 Core Principle 17.
§ 38.950 Core Principle 18.
§ 38.951 Additional sources for compliance.
§ 38.1000 Core Principle 19.
§ 38.1001 Additional sources for compliance.
§ 38.1050 Core Principle 20.
§ 38.1100 Core Principle 21.
§ 38.1150 Core Principle 22.
§ 38.1200 Core Principle 23.
§ 38.1201 Additional sources for compliance.
§ 39.3 Procedures for registration.
§ 39.4 Procedures for implementing derivatives clearing organization rules and clearing new products.
§ 39.5 Review of swaps for Commission determination on clearing requirement.
§ 39.8 Fraud in connection with the clearing of transactions on a derivatives clearing organization.
§ 39.10 Compliance with core principles.
§ 39.12 Participant and product eligibility.
§ 39.15 Treatment of funds.
§ 39.16 Default rules and procedures.
§ 39.27 Legal risk considerations.
§ 39.31 Election to become subject to the provisions of this subpart.
§ 39.32 Governance for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
§ 39.33 Financial resources requirements for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
§ 39.34 System safeguards for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
§ 39.35 Default rules and procedures for uncovered credit losses or liquidity shortfalls (recovery) for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
§ 39.36 Risk management for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
§ 39.37 Additional disclosure for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
§ 39.38 Efficiency for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
§ 39.39 Recovery and wind-down for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
§ 39.40 Consistency with the Principles for Financial Market Infrastructures.
§ 39.41 Special enforcement authority for systemically important derivatives clearing organizations.
§ 39.42 Advance notice of material risk-related rule changes by systemically important derivatives clearing organizations.
§ 40.2 Listing products for trading by certification.
§ 40.3 Voluntary submission of new products for Commission review and approval.
§ 40.4 Amendments to terms or conditions of enumerated agricultural products.
§ 40.5 Voluntary submission of rules for Commission review and approval.
§ 40.6 Self-certification of rules.
§ 40.8 Availability of public information.
§ 40.10 Special certification procedures for submission of rules by systemically important derivatives clearing organizations.
§ 40.11 Review of event contracts based upon certain excluded commodities.
§ 40.12 Staying of certification and tolling of review period pending jurisdictional determination.

References: § 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 1

§ 2

§ 2

§ 2

§ 3

§ 3

§ 3

§ 3

§ 3

§ 3

§ 3

§ 3

§ 3

§ 3

§ 3

§ 3

§ 3

§ 3

§ 3

§ 3

§ 3

§ 3

§ 3

§ 3

§ 3
 § 3
 § 3
 § 3

§ 3

§ 3

§ 3

§ 3

§ 4

§ 4

§ 4

§ 4

§ 4

§ 4

§ 4

§ 4

§ 4

§ 4

§ 4

§ 4

§ 4

§ 4

§ 4

§ 4

§ 4

§ 5

§ 5

§ 5

§ 5

§ 5

§ 5

§ 5

§ 5

§ 5

§ 5

§ 5

§ 5

§ 5

§ 5

§ 5

§ 5

§ 5

§ 5

§ 5

§ 5

§ 7

§ 9

§ 9

§ 9

§ 9

§ 9

§ 9

§ 9

§ 9

§ 9

§ 9

§ 9

§ 9

§ 9

§ 9

§ 9

§ 9

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 10

§ 11

§ 11

§ 11

§ 11

§ 11

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 12

§ 13

§ 13

§ 13

§ 13

§ 13

§ 14

§ 14

§ 14

§ 14

§ 14

§ 14

§ 15

§ 15

§ 15

§ 15

§ 16

§ 16

§ 16

§ 16

§ 16

§ 17

§ 17

§ 17

§ 17

§ 17

§ 18

§ 18

§ 18

§ 18

§ 18

§ 19

§ 19

§ 20

§ 20

§ 20

§ 20

§ 20

§ 21

§ 21

§ 21

§ 21

§ 21

§ 21

§ 21

§ 22

§ 22

§ 22

§ 22

§ 22

§ 22

§ 22

§ 22

§ 22

§ 22

§ 22

§ 22

§ 22

§ 22

§ 22

§ 22

§ 23

§ 23

§ 23

§ 23

§ 23

§ 23

§ 23

§ 23

§ 23

§ 23

§ 23

§ 23

§ 23

§ 23

§ 23

§ 23

§ 23

§ 23

§ 23

§ 23

§ 23

§ 23

§ 23

§ 23

§ 23

§ 23

§ 23

§ 23

§ 23

§ 23

§ 23

§ 23

§ 23

§ 23

§ 23

§ 23

§ 31

§ 31

§ 31

§ 31

§ 31

§ 31

§ 31

§ 31

§ 31

§ 31

§ 31

§ 31

§ 31

§ 31

§ 31

§ 31

§ 31

§ 31

§ 31

§ 32

§ 32

§ 32

§ 33

§ 33

§ 33

§ 33

§ 33

§ 33

§ 34

§ 35

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 37

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 38

§ 39

§ 39

§ 39

§ 39

§ 39

§ 39

§ 39

§ 39

§ 39

§ 39

§ 39

§ 39

§ 39

§ 39

§ 39

§ 39

§ 39

§ 39

§ 39

§ 39

§ 39

§ 40

§ 40

§ 40

§ 40

§ 40

§ 40

§ 40

§ 40

§ 40