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[A1]

 

Electronic Code of Federal Regulations

e-CFR data is current as of January 16, 2020

Title 17 → Chapter I → Part 38

TITLE 17—Commodity and Securities Exchanges

CHAPTER I—COMMODITY FUTURES TRADING COMMISSION

PART 38—DESIGNATED CONTRACT MARKETS

rule

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.
rule

Subpart B—DESIGNATION AS CONTRACT MARKET

§38.100
Core Principle 1.
rule

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.
rule

Subpart D—CONTRACTS NOT READILY SUBJECT TO MANIPULATION

§38.200
Core Principle 3.
§38.201
Additional sources for compliance.
rule

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.
rule

Subpart F—POSITION LIMITATIONS OR ACCOUNTABILITY

§38.300
Core Principle 5.
§38.301
Position limitations and accountability.
rule

Subpart G—EMERGENCY AUTHORITY

§38.350
Core Principle 6.
§38.351
Additional sources for compliance.
rule

Subpart H—AVAILABILITY OF GENERAL INFORMATION

§38.400
Core Principle 7.
§38.401
General requirements.
rule

Subpart I—DAILY PUBLICATION OF TRADING INFORMATION

§38.450
Core Principle 8.
§38.451
Reporting of trade information.
rule

Subpart J—EXECUTION OF TRANSACTIONS

§38.500
Core Principle 9.
rule

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.
rule

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.
rule

Subpart M—PROTECTION OF MARKETS AND MARKET PARTICIPANTS

§38.650
Core Principle 12.
§38.651
Protection of markets and market participants.
rule

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.
rule

Subpart O—DISPUTE RESOLUTION

§38.750
Core Principle 14.
§38.751
Additional sources for compliance.
rule

Subpart P—GOVERNANCE FITNESS STANDARDS

§38.800
Core Principle 15.
§38.801
Additional sources for compliance.
rule

Subpart Q—CONFLICTS OF INTEREST

§38.850
Core Principle 16.
§38.851
Additional sources for compliance.
rule

Subpart R—COMPOSITION OF GOVERNING BOARDS OF CONTRACT MARKETS

§38.900
Core Principle 17.
rule

Subpart S—RECORDKEEPING

§38.950
Core Principle 18.
§38.951
Additional sources for compliance.
rule

Subpart T—ANTITRUST CONSIDERATIONS

§38.1000
Core Principle 19.
§38.1001
Additional sources for compliance.
rule

Subpart U—SYSTEM SAFEGUARDS

§38.1050
Core Principle 20.
§38.1051
General requirements.
rule

Subpart V—FINANCIAL RESOURCES

§38.1100
Core Principle 21.
§38.1101
General requirements.
rule

Subpart W—DIVERSITY OF BOARD OF DIRECTORS

§38.1150
Core Principle 22.
rule

Subpart X—SECURITIES AND EXCHANGE COMMISSION

§38.1200
Core Principle 23.
§38.1201
Additional sources for compliance.
rule

   

Appendix
Appendix A to Part 38—Form DCM
Appendix
Appendix B to Part 38—Guidance on, and Acceptable Practices in, Compliance With Core Principles
Appendix
Appendix C to Part 38—Demonstration of Compliance That a Contract Is Not Readily Susceptible to Manipulation

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