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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
Exemption from derivatives clearing organization registration.
§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.
§§39.43-39.49
[Reserved]
rule

Subpart D—PROVISIONS APPLICABLE TO DERIVATIVES CLEARING ORGANIZATIONS SUBJECT TO COMPLIANCE WITH CORE PRINCIPLES THROUGH COMPLIANCE WITH HOME COUNTRY REGULATORY REGIME

§39.50
Scope.
§39.51
Compliance with the core principles through compliance with home country regulatory regime.
Appendix
Appendix A to Part 39—Form DCO Derivatives Clearing Organization Application for Registration
Appendix
Appendix B to Part 39—Subpart C Election Form

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