Title 17, Part 39 — Derivatives Clearing Organizations
44 sections
Section 39.1
Scope.
Section 39.2
Definitions.
Section 39.3
Procedures for registration.
Section 39.4
Procedures for implementing derivatives clearing organization rules and clearing new products.
Section 39.5
Review of swaps for Commission determination on clearing requirement.
Section 39.6
Exemption from derivatives clearing organization registration.
Section 39.7
Enforceability.
Section 39.8
Fraud in connection with the clearing of transactions on a derivatives clearing organization.
Section 39.9
Scope.
Section 39.10
Compliance with core principles.
Section 39.11
Financial resources.
Section 39.12
Participant and product eligibility.
Section 39.13
Risk management.
Section 39.14
Settlement procedures.
Section 39.15
Treatment of funds.
Section 39.16
Default rules and procedures.
Section 39.17
Rule enforcement.
Section 39.18
System safeguards.
Section 39.19
Reporting.
Section 39.20
Recordkeeping.
Section 39.21
Public information.
Section 39.22
Information sharing.
Section 39.23
Antitrust considerations.
Section 39.24
Governance.
Section 39.25
Conflicts of interest.
Section 39.26
Composition of governing boards.
Section 39.27
Legal risk considerations.
Section 39.28-39.29
§§ 39.28-39.29 [Reserved]
Section 39.30
Scope.
Section 39.31
Election to become subject to the provisions of this subpart.
Section 39.32
[Reserved]
Section 39.33
Financial resources requirements for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
Section 39.34
System safeguards for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
Section 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.
Section 39.36
Risk management for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
Section 39.37
Additional disclosure for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
Section 39.38
Efficiency for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
Section 39.39
Recovery and wind-down for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
Section 39.40
Consistency with the Principles for Financial Market Infrastructures.
Section 39.41
Special enforcement authority for systemically important derivatives clearing organizations.
Section 39.42
Advance notice of material risk-related rule changes by systemically important derivatives clearing organizations.
Section 39.43-39.49
§§ 39.43-39.49 [Reserved]
Section 39.50
Scope.
Section 39.51
Compliance with the core principles through compliance with home country regulatory regime.