e-CFR banner

Home
gpo.gov
govinfo.gov

e-CFR Navigation Aids

Browse

Simple Search

Advanced Search

 — Boolean

 — Proximity

 

Search History

Search Tips

Corrections

Latest Updates

User Info

FAQs

Agency List

Incorporation By Reference

eCFR logo

Related Resources

The Code of Federal Regulations (CFR) annual edition is the codification of the general and permanent rules published in the Federal Register by the departments and agencies of the Federal Government produced by the Office of the Federal Register (OFR) and the Government Publishing Office.

Download the Code of Federal Regulations in XML.

Download the Electronic Code of Federal Regulations in XML.

Monthly Title and Part user viewing data for the e-CFR is available for download in CSV format.

Parallel Table of Authorities and Rules for the Code of Federal Regulations and the United States Code
Text | PDF

Find, review, and submit comments on Federal rules that are open for comment and published in the Federal Register using Regulations.gov.

Purchase individual CFR titles from the U.S. Government Online Bookstore.

Find issues of the CFR (including issues prior to 1996) at a local Federal depository library.

[A1]

 

Electronic Code of Federal Regulations

e-CFR data is current as of May 22, 2020

Title 17 → Chapter I → Part 39

TITLE 17—Commodity and Securities Exchanges

CHAPTER I—COMMODITY FUTURES TRADING COMMISSION

PART 39—DERIVATIVES CLEARING ORGANIZATIONS

rule

Subpart A—GENERAL PROVISIONS APPLICABLE TO DERIVATIVES CLEARING ORGANIZATIONS

§39.1
Scope.
§39.2
Definitions.
§39.3
Procedures for registration.
§39.4
Procedures for implementing derivatives clearing organization rules and clearing new products.
§39.5
Review of swaps for Commission determination on clearing requirement.
§39.6
[Reserved]
§39.7
Enforceability.
§39.8
Fraud in connection with the clearing of transactions on a derivatives clearing organization.
rule

Subpart B—COMPLIANCE WITH CORE PRINCIPLES

§39.9
Scope.
§39.10
Compliance with core principles.
§39.11
Financial resources.
§39.12
Participant and product eligibility.
§39.13
Risk management.
§39.14
Settlement procedures.
§39.15
Treatment of funds.
§39.16
Default rules and procedures.
§39.17
Rule enforcement.
§39.18
System safeguards.
§39.19
Reporting.
§39.20
Recordkeeping.
§39.21
Public information.
§39.22
Information sharing.
§39.23
Antitrust considerations.
§39.24
Governance.
§39.25
Conflicts of interest.
§39.26
Composition of governing boards.
§39.27
Legal risk considerations.
§§39.28-39.29
[Reserved]
rule

Subpart C—PROVISIONS APPLICABLE TO SYSTEMICALLY IMPORTANT DERIVATIVES CLEARING ORGANIZATIONS AND DERIVATIVES CLEARING ORGANIZATIONS THAT ELECT TO BE SUBJECT TO THE PROVISIONS OF THIS SUBPART

§39.30
Scope.
§39.31
Election to become subject to the provisions of this subpart.
§39.32
[Reserved]
§39.33
Financial resources requirements for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
§39.34
System safeguards for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
§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.
§39.36
Risk management for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
§39.37
Additional disclosure for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
§39.38
Efficiency for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
§39.39
Recovery and wind-down for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
§39.40
Consistency with the Principles for Financial Market Infrastructures.
§39.41
Special enforcement authority for systemically important derivatives clearing organizations.
§39.42
Advance notice of material risk-related rule changes by systemically important derivatives clearing organizations.
rule

   

Appendix
Appendix A to Part 39—Form DCO Derivatives Clearing Organization Application for Registration
Appendix
Appendix B to Part 39—Subpart C Election Form

Need assistance?