17 CFR Part 39
PART 39—DERIVATIVES CLEARING ORGANIZATIONS
- PART 39—DERIVATIVES CLEARING ORGANIZATIONS
- Chapter I—Commodity Futures Trading Commission
- Subpart A—General Provisions Applicable to Derivatives Clearing Organizations
- § 39.1 Scope.
- § 39.2 Definitions.
- § 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.
- § 39.6 Exemption from derivatives clearing organization registration.
- § 39.7 Enforceability.
- § 39.8 Fraud in connection with the clearing of transactions on a derivatives clearing organization.
- Subpart B—Compliance with Core Principles
- § 39.9 Scope.
- § 39.10 Compliance with core principles.
- § 39.11 Financial resources.
- § 39.12 Participant and product eligibility.
- § 39.13 Risk management.
- § 39.14 Settlement procedures.
- § 39.15 Treatment of funds.
- § 39.16 Default rules and procedures.
- § 39.17 Rule enforcement.
- § 39.18 System safeguards.
- § 39.19 Reporting.
- § 39.20 Recordkeeping.
- § 39.21 Public information.
- § 39.22 Information sharing.
- § 39.23 Antitrust considerations.
- § 39.24 Governance.
- § 39.25 Conflicts of interest.
- § 39.26 Composition of governing boards.
- § 39.27 Legal risk considerations.
- §§ 39.28-39.29 [Reserved]
- Subpart C—Provisions Applicable to Systemically Important Derivatives Clearing Organizations and Derivatives Clearing Organizations That Elect To Be Subject to the Provisions of This Subpart
- § 39.30 Scope.
- § 39.31 Election to become subject to the provisions of this subpart.
- § 39.32 [Reserved]
- § 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.
- §§ 39.43-39.49 [Reserved]
- Subpart D—Provisions Applicable to Derivatives Clearing Organizations Subject to Compliance with Core Principles Through Compliance with Home Country Regulatory Regime
- § 39.50 Scope.
- § 39.51 Compliance with the core principles through compliance with home country regulatory regime.
- Appendix A to Part 39—Form DCO Derivatives Clearing Organization Application for Registration
- Appendix B to Part 39—Subpart C Election Form
- Appendix C to Part 39—Daily Reporting Data Fields
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