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Title 17
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Part 38
FEDERAL · 17 CFR
Part 38 — Designated Contract Markets
89 sections · Title 17: Commodity and Securities Exchanges
§ 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.
§ 38.100
Core Principle 1.
§ 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.
§ 38.200
Core Principle 3.
§ 38.201
Additional sources for compliance.
§ 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.
§ 38.300
Core Principle 5.
§ 38.301
Position limitations and accountability.
§ 38.350
Core Principle 6.
§ 38.351
Additional sources for compliance.
§ 38.400
Core Principle 7.
§ 38.401
General requirements.
§ 38.450
Core Principle 8.
§ 38.451
Reporting of trade information.
§ 38.500
Core Principle 9.
§ 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.
§ 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.
§ 38.650
Core Principle 12.
§ 38.651
Protection of markets and market participants.
§ 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.
§ 38.750
Core Principle 14.
§ 38.751
Additional sources for compliance.
§ 38.800
Core Principle 15.
§ 38.801
Additional sources for compliance.
§ 38.850
Core Principle 16.
§ 38.851
Additional sources for compliance.
§ 38.900
Core Principle 17.
§ 38.950
Core Principle 18.
§ 38.951
Additional sources for compliance.
§ 38.1000
Core Principle 19.
§ 38.1001
Additional sources for compliance.
§ 38.1050
Core Principle 20.
§ 38.1051
General requirements.
§ 38.1100
Core Principle 21.
§ 38.1101
General requirements.
§ 38.1150
Core Principle 22.
§ 38.1200
Core Principle 23.
§ 38.1201
Additional sources for compliance.