Source: https://www.law.cornell.edu/cfr/text/17/38.9
Timestamp: 2016-10-23 12:10:05
Document Index: 448657739

Matched Legal Cases: ['art 38', '§ 38', 'art 37', 'art 37', '§ 1', '§ 2', '§ 6', '§ 6', '§ 6', '§ 6', '§ 6', '§ 6', '§ 6', '§ 6', '§ 6', '§ 6', '§ 6', '§ 6', '§ 6', '§ 7', '§ 7', '§ 7', '§ 7', '§ 7', '§ 8', '§ 9', '§ 10', '§ 12', '§ 12', '§ 12', '§ 13', '§ 13', '§ 16', '§ 16', '§ 19', '§ 21', '§ 23', '§ 24']

17 CFR 38.9 - Boards of trade operating both a designated contract market and a swap execution facility. | US Law | LII / Legal Information Institute
CFR › Title 17 › Chapter I › Part 38 › Subpart A › Section 38.9 17 CFR 38.9 - Boards of trade operating both a designated contract market and a swap execution facility.
§ 38.9 Boards of trade operating both a designated contract market and a swap execution facility.
(a) A board of trade that operates a designated contract market and that intends to also operate a swap execution facility must separately register, pursuant to the swap execution facility registration requirements set forth in part 37 of this chapter, and on an ongoing basis, comply with the core principles under section 5h of the Act, and the swap execution facility rules under part 37 of this chapter.
(b) A board of trade that operates both a designated contract market and a swap execution facility, and that uses the same electronic trade execution system for executing and trading swaps that it uses in its capacity as a designated contract market, must clearly identify to market participants for each swap whether the execution or trading of such swap is taking place on the designated contract market or on the swap execution facility.
[77 FR 36699, June 19, 2012]
This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.United States CodeU.S. Code: Title 7 - AGRICULTURE§ 1a - Definitions§ 2 - Jurisdiction of Commission; liability of principal for act of agent; Commodity Futures Trading Commission; transaction in interstate commerce§ 6 - Regulation of futures trading and foreign transactions§ 6a - Excessive speculation§ 6c - Prohibited transactions§ 6d - Dealing by unregistered futures commission merchants or introducing brokers prohibited; duties in handling customer receipts; conflict-of-interest...avoid duplicative regulations; swap requirements; portfolio margining accounts§ 6e - Dealings by unregistered floor trader or broker prohibited§ 6f - Registration and financial requirements; risk assessment§ 6g - Reporting and recordkeeping§ 6i - Reports of deals equal to or in excess of trading limits; books and records; cash and controlled transactions§ 6j - Restrictions on dual trading in security futures products on designated contract markets and registered derivatives transaction execution facilities§ 6k - Registration of associates of futures commission merchants, commodity pool operators, and commodity trading advisors; required disclosure of disqualifications; exemptions for associated persons§ 6l - Commodity trading advisors and commodity pool operators; Congressional finding§ 6m - Use of mails or other means or instrumentalities of interstate commerce by commodity trading advisors and commodity pool operators; relation to other law§ 6n - Registration of commodity trading advisors and commodity pool operators; application; expiration and renewal; record keeping and reports; disclosure; statements of account§ 7 - Designation of boards of trade as contract markets§ 7a-2§ 7b - Suspension or revocation of designation as registered entity§ 7b-1§ 7b-3§ 8 - Application for designation as contract market or derivatives transaction execution facility; time; suspension or revocation of designation; hearing; review by court of appeals§ 9 - Prohibition regarding manipulation and false information§ 10a - Cooperative associations and corporations, exclusion from board of trade; rules of board inapplicable to payment of compensation by association§ 12 - Public disclosure§ 12a - Registration of commodity dealers and associated persons; regulation of registered entities§ 12c - Disciplinary actions§ 13a - Nonenforcement of rules of government or other violations; cease and desist orders; fines and penalties; imprisonment; misdemeanor; separate offenses§ 13a-1§ 16 - Commission operations§ 16a - Service fees and National Futures Association study§ 19 - Consideration of costs and benefits and antitrust laws§ 21 - Registered futures associations§ 23 - Standardized contracts for certain commodities§ 24 - Customer property with respect to commodity broker debtors; definitions