Title 17, Part 38 — Designated Contract Markets
89 sections
Section 38.1
Scope.
Section 38.2
Exempt provisions.
Section 38.3
Procedures for designation.
Section 38.4
Procedures for listing products and implementing contract market rules.
Section 38.5
Information relating to contract market compliance.
Section 38.6
Enforceability.
Section 38.7
Prohibited use of data collected for regulatory purposes.
Section 38.8
Listing of swaps on a designated contract market.
Section 38.9
Boards of trade operating both a designated contract market and a swap execution facility.
Section 38.10
Reporting of swaps traded on a designated contract market.
Section 38.11
Trade execution compliance schedule.
Section 38.12
Process for a designated contract market to make a swap available to trade.
Section 38.100
Core Principle 1.
Section 38.150
Core Principle 2.
Section 38.151
Access requirements.
Section 38.152
Abusive trading practices prohibited.
Section 38.153
Capacity to detect and investigate rule violations.
Section 38.154
Regulatory services provided by a third party.
Section 38.155
Compliance staff and resources.
Section 38.156
Automated trade surveillance system.
Section 38.157
Real-time market monitoring.
Section 38.158
Investigations and investigation reports.
Section 38.159
Ability to obtain information.
Section 38.160
Additional sources for compliance.
Section 38.200
Core Principle 3.
Section 38.201
Additional sources for compliance.
Section 38.250
Core Principle 4.
Section 38.251
General requirements.
Section 38.252
Additional requirements for physical-delivery contracts.
Section 38.253
Additional requirements for cash-settled contracts.
Section 38.254
Ability to obtain information.
Section 38.255
Risk controls for trading.
Section 38.256
Trade reconstruction.
Section 38.257
Regulatory service provider.
Section 38.258
Additional sources for compliance.
Section 38.300
Core Principle 5.
Section 38.301
Position limitations and accountability.
Section 38.350
Core Principle 6.
Section 38.351
Additional sources for compliance.
Section 38.400
Core Principle 7.
Section 38.401
General requirements.
Section 38.450
Core Principle 8.
Section 38.451
Reporting of trade information.
Section 38.500
Core Principle 9.
Section 38.550
Core Principle 10.
Section 38.551
Audit trail required.
Section 38.552
Elements of an acceptable audit trail program.
Section 38.553
Enforcement of audit trail requirements.
Section 38.600
Core Principle 11.
Section 38.601
Mandatory clearing.
Section 38.602
General financial integrity.
Section 38.603
Protection of customer funds.
Section 38.604
Financial surveillance.
Section 38.605
Requirements for financial surveillance program.
Section 38.606
Financial regulatory services provided by a third party.
Section 38.607
Direct access.
Section 38.650
Core Principle 12.
Section 38.651
Protection of markets and market participants.
Section 38.700
Core Principle 13.
Section 38.701
Enforcement staff.
Section 38.702
Disciplinary panels.
Section 38.703
Notice of charges.
Section 38.704
Right to representation.
Section 38.705
Answer to charges.
Section 38.706
Denial of charges and right to hearing.
Section 38.707
Hearings.
Section 38.708
Decisions.
Section 38.709
Final decisions.
Section 38.710
Disciplinary sanctions.
Section 38.711
Warning letters.
Section 38.712
Additional sources for compliance.
Section 38.750
Core Principle 14.
Section 38.751
Additional sources for compliance.
Section 38.800
Core Principle 15.
Section 38.801
Additional sources for compliance.
Section 38.850
Core Principle 16.
Section 38.851
Additional sources for compliance.
Section 38.900
Core Principle 17.
Section 38.950
Core Principle 18.
Section 38.951
Additional sources for compliance.
Section 38.1000
Core Principle 19.
Section 38.1001
Additional sources for compliance.
Section 38.1050
Core Principle 20.
Section 38.1051
General requirements.
Section 38.1100
Core Principle 21.
Section 38.1101
General requirements.
Section 38.1150
Core Principle 22.
Section 38.1200
Core Principle 23.
Section 38.1201
Additional sources for compliance.