17 CFR Part 38
PART 38—DESIGNATED CONTRACT MARKETS
- PART 38—DESIGNATED CONTRACT MARKETS
- Chapter I—Commodity Futures Trading Commission
- Subpart A—General Provisions
- § 38.1 Scope.
- § 38.2 Exempt provisions.
- § 38.3 Procedures for designation.
- § 38.4 Procedures for listing products and implementing contract market rules.
- § 38.5 Information relating to contract market compliance.
- § 38.6 Enforceability.
- § 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.
- Subpart B—Designation as Contract Market
- § 38.100 Core Principle 1.
- Subpart C—Compliance With Rules
- § 38.150 Core Principle 2.
- § 38.151 Access requirements.
- § 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.
- Subpart D—Contracts Not Readily Subject to Manipulation
- § 38.200 Core Principle 3.
- § 38.201 Additional sources for compliance.
- Subpart E—Prevention of Market Disruption
- § 38.250 Core Principle 4.
- § 38.251 General requirements.
- § 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.
- § 38.256 Trade reconstruction.
- § 38.257 Regulatory service provider.
- § 38.258 Additional sources for compliance.
- Subpart F—Position Limitations or Accountability
- § 38.300 Core Principle 5.
- § 38.301 Position limitations and accountability.
- Subpart G—Emergency Authority
- § 38.350 Core Principle 6.
- § 38.351 Additional sources for compliance.
- Subpart H—Availability of General Information
- § 38.400 Core Principle 7.
- § 38.401 General requirements.
- Subpart I—Daily Publication of Trading Information
- § 38.450 Core Principle 8.
- § 38.451 Reporting of trade information.
- Subpart J—Execution of Transactions
- § 38.500 Core Principle 9.
- Subpart K—Trade Information
- § 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.
- Subpart L—Financial Integrity of Transactions
- § 38.600 Core Principle 11.
- § 38.601 Mandatory clearing.
- § 38.602 General financial integrity.
- § 38.603 Protection of customer funds.
- § 38.604 Financial surveillance.
- § 38.605 Requirements for financial surveillance program.
- § 38.606 Financial regulatory services provided by a third party.
- § 38.607 Direct access.
- Subpart M—Protection of Markets and Market Participants
- § 38.650 Core Principle 12.
- § 38.651 Protection of markets and market participants.
- Subpart N—Disciplinary Procedures
- § 38.700 Core Principle 13.
- § 38.701 Enforcement staff.
- § 38.702 Disciplinary panels.
- § 38.703 Notice of charges.
- § 38.704 Right to representation.
- § 38.705 Answer to charges.
- § 38.706 Denial of charges and right to hearing.
- § 38.707 Hearings.
- § 38.708 Decisions.
- § 38.709 Final decisions.
- § 38.710 Disciplinary sanctions.
- § 38.711 Warning letters.
- § 38.712 Additional sources for compliance.
- Subpart O—Dispute Resolution
- § 38.750 Core Principle 14.
- § 38.751 Additional sources for compliance.
- Subpart P—Governance Fitness Standards
- § 38.800 Core Principle 15.
- § 38.801 Additional sources for compliance.
- Subpart Q—Conflicts of Interest
- § 38.850 Core Principle 16.
- § 38.851 Additional sources for compliance.
- Subpart R—Composition of Governing Boards of Contract Markets
- § 38.900 Core Principle 17.
- Subpart S—Recordkeeping
- § 38.950 Core Principle 18.
- § 38.951 Additional sources for compliance.
- Subpart T—Antitrust Considerations
- § 38.1000 Core Principle 19.
- § 38.1001 Additional sources for compliance.
- Subpart U—System Safeguards
- § 38.1050 Core Principle 20.
- § 38.1051 General requirements.
- Subpart V—Financial Resources
- § 38.1100 Core Principle 21.
- § 38.1101 General requirements.
- Subpart W—Diversity of Board of Directors
- § 38.1150 Core Principle 22.
- Subpart X—Securities and Exchange Commission
- § 38.1200 Core Principle 23.
- § 38.1201 Additional sources for compliance.
- Appendix A to Part 38—Form DCM
- Appendix B to Part 38—Guidance on, and Acceptable Practices in, Compliance With Core Principles
- Appendix C to Part 38—Demonstration of Compliance That a Contract Is Not Readily Susceptible to Manipulation
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