e-CFR data is current as of January 19, 2021
TITLE 17—Commodity and Securities Exchanges
CHAPTER I—COMMODITY FUTURES TRADING COMMISSION PART 38—DESIGNATED CONTRACT MARKETS
Subpart A—GENERAL PROVISIONS
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Procedures for designation. |
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Procedures for listing products and implementing contract market rules. |
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Information relating to contract market compliance. |
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Prohibited use of data collected for regulatory purposes. |
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Listing of swaps on a designated contract market. |
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Boards of trade operating both a designated contract market and a swap execution facility. |
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Reporting of swaps traded on a designated contract market. |
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Trade execution compliance schedule. |
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Process for a designated contract market to make a swap available to trade. |
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Subpart B—DESIGNATION AS CONTRACT MARKET
Subpart C—COMPLIANCE WITH RULES
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Abusive trading practices prohibited. |
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Capacity to detect and investigate rule violations. |
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Regulatory services provided by a third party. |
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Compliance staff and resources. |
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Automated trade surveillance system. |
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Real-time market monitoring. |
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Investigations and investigation reports. |
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Ability to obtain information. |
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Additional sources for compliance. |
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Subpart D—CONTRACTS NOT READILY SUBJECT TO MANIPULATION
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Additional sources for compliance. |
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Subpart E—PREVENTION OF MARKET DISRUPTION
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Additional requirements for physical-delivery contracts. |
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Additional requirements for cash-settled contracts. |
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Ability to obtain information. |
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Risk controls for trading. |
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Regulatory service provider. |
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Additional sources for compliance. |
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Subpart F—POSITION LIMITATIONS OR ACCOUNTABILITY
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Position limitations and accountability. |
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Subpart G—EMERGENCY AUTHORITY
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Additional sources for compliance. |
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Subpart H—AVAILABILITY OF GENERAL INFORMATION
Subpart I—DAILY PUBLICATION OF TRADING INFORMATION
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Reporting of trade information. |
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Subpart J—EXECUTION OF TRANSACTIONS
Subpart K—TRADE INFORMATION
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Elements of an acceptable audit trail program. |
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Enforcement of audit trail requirements. |
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Subpart L—FINANCIAL INTEGRITY OF TRANSACTIONS
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General financial integrity. |
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Protection of customer funds. |
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Requirements for financial surveillance program. |
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Financial regulatory services provided by a third party. |
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Subpart M—PROTECTION OF MARKETS AND MARKET PARTICIPANTS
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Protection of markets and market participants. |
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Subpart N—DISCIPLINARY PROCEDURES
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Denial of charges and right to hearing. |
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Additional sources for compliance. |
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Subpart O—DISPUTE RESOLUTION
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Additional sources for compliance. |
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Subpart P—GOVERNANCE FITNESS STANDARDS
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Additional sources for compliance. |
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Subpart Q—CONFLICTS OF INTEREST
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Additional sources for compliance. |
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Subpart R—COMPOSITION OF GOVERNING BOARDS OF CONTRACT MARKETS
Subpart S—RECORDKEEPING
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Additional sources for compliance. |
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Subpart T—ANTITRUST CONSIDERATIONS
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Additional sources for compliance. |
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Subpart U—SYSTEM SAFEGUARDS
Subpart V—FINANCIAL RESOURCES
Subpart W—DIVERSITY OF BOARD OF DIRECTORS
Subpart X—SECURITIES AND EXCHANGE COMMISSION
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Additional sources for compliance. |
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Appendix C to Part 38—Demonstration of Compliance That a Contract Is Not Readily Susceptible to Manipulation |
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