Source: http://www.law.cornell.edu/cfr/text/17/38.4?qt-cfr_tabs=3
Timestamp: 2014-07-23 22:59:08
Document Index: 378437291

Matched Legal Cases: ['art 38', '§ 38', '§ 40', '§ 40', '§ 40', '§ 38', '§ 40', '§ 40', '§ 40', 'art 38', 'art 38', '§ 1', '§ 2', '§ 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 38.4 - Procedures for listing products and implementing contract market rules. | LII / Legal Information Institute
CFR › Title 17 › Chapter I › Part 38 › Subpart A › Section 38.4 17 CFR 38.4 - Procedures for listing products and implementing contract market rules.
There are 2 Updates appearing in the Federal Register for 17 CFR 38. View below or at eCFR (GPOAccess)
§ 38.4
Procedures for listing products and implementing contract market rules.
Request for Commission approval of rules and products.
An applicant for designation, or a designated contract market, may request that the Commission approve under section 5c(c) of the Act, any or all of its rules and contract terms and conditions, and subsequent amendments thereto, prior to their implementation or, notwithstanding the provisions of section 5c(c)(4) of the Act, at any time thereafter, under the procedures of § 40.3 or § 40.5 of this chapter, as applicable. A designated contract market may label a future, swap or options product in its rules as “Listed for trading pursuant to Commission approval,” if the future, swap or options product and its terms or conditions have been approved by the Commission, and it may label as “Approved by the Commission” only those rules that have been so approved.
Notwithstanding the timeline under §§ 40.3(c) and 40.5(c) of this chapter, the operating rules, and terms and conditions of futures, swaps and option products that have been submitted for Commission approval at the same time as an application for contract market designation or an application under § 38.3(b) of this part to reinstate the designation of a dormant designated contract market, as defined in § 40.1 of this chapter, or while one of the foregoing is pending, will be deemed approved by the Commission no earlier than when the facility is deemed to be designated or reinstated.
Self-certification of rules and products.
Rules of a designated contract market and subsequent amendments thereto, including both operational rules and the terms or conditions of futures, swaps and option products listed for trading on the facility, not voluntarily submitted for prior Commission approval pursuant to paragraph (a) of this section, must be submitted to the Commission with a certification that the rule, rule amendment or futures, swap or options product complies with the Act or rules thereunder pursuant to the procedures of § 40.6 of this chapter, as applicable. Provided, however, any rule or rule amendment that would, for a delivery month having open interest, materially change a term or condition of a swap or a contract for future delivery in an agricultural commodity enumerated in section 1a(9) of the Act, or of an option on such contract or commodity, must be submitted to the Commission prior to its implementation for review and approval under § 40.4 of this chapter.
An applicant for designation, or a designated contract market, may request that the Commission consider under the provisions of section 15(b) of the Act any of the contract market's rules or policies, including both operational rules and the terms or conditions of products listed for trading.
[66 FR 42277, Aug. 10, 2001, as amended at 67 FR 62878, Oct. 9, 2002; 77 FR 36698, June 19, 2012]
Title 17 published on 2013-04-01The following are only the Rules published in the Federal Register after the published date of Title 17.For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.2013-06-04; vol. 78 # 107 - Tuesday, June 4, 201378 FR 33606 - Process for a Designated Contract Market or Swap Execution Facility To Make a Swap Available to Trade, Swap Transaction Compliance and Implementation Schedule, and Trade Execution Requirement Under the Commodity Exchange Act
2013-06-03; vol. 78 # 106 - Monday, June 3, 201378 FR 32988 - Core Principles and Other Requirements for Designated Contract Markets; Correction
typeregulations.gov FR Doc.2013-13045 RIN3038-AD09 COMMODITY FUTURES TRADING COMMISSION Final rule; correction. This correction is effective May 29, 2013. 17 CFR Part 38 SummaryThis document corrects the Federal Register release of the final rule regarding Core Principles and Other Requirements for Designated Contract Markets by inserting a missing instruction to add Appendix C to 17 CFR part 38. This is a correction to the Federal Register only, which does not affect the text of Appendix C as published in the final rule.
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...rules to 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 persons7 U.S. Code § -§ 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 markets7 U.S. Code § 7a–2 - Common provisions applicable to registered entities§ 7b - Suspension or revocation of designation as registered entity7 U.S. Code § 7b–1 - Designation of securities exchanges and associations as contract markets7 U.S. Code § 7b–3 - Swap execution facilities§ 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 offenses7 U.S. Code § 13a–1 - Enjoining or restraining violations§ 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
Title 17 published on 2013-04-01The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 38 after this date.2013-12-19; vol. 78 # 244 - Thursday, December 19, 201378 FR 76788 - Position Limits for Derivatives
2013-06-04; vol. 78 # 107 - Tuesday, June 4, 201378 FR 33606 - Process for a Designated Contract Market or Swap Execution Facility To Make a Swap Available to Trade, Swap Transaction Compliance and Implementation Schedule, and Trade Execution Requirement Under the Commodity Exchange Act