Title 17

PART 38

Part 38 - Designated Contract Markets

PART 38 - DESIGNATED CONTRACT MARKETS Authority:7 U.S.C. 1a, 2, 6, 6a, 6c, 6d, 6e, 6f, 6g, 6i, 6j, 6k, 6l, 6m, 6n, 7, 7a-2, 7b, 7b-1, 7b-3, 8, 9, 15, and 21, as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act, Pub. L. 111-203, 124 Stat. 1376. Source:66 FR 42277, Aug. 10, 2001, unless otherwise noted.

17:1.0.1.1.31.1SUBPART A
Subpart A - General Provisions
17:1.0.1.1.31.1.7.1SECTION 38.1
   38.1 Scope.
17:1.0.1.1.31.1.7.2SECTION 38.2
   38.2 Exempt provisions.
17:1.0.1.1.31.1.7.3SECTION 38.3
   38.3 Procedures for designation.
17:1.0.1.1.31.1.7.4SECTION 38.4
   38.4 Procedures for listing products and implementing contract market rules.
17:1.0.1.1.31.1.7.5SECTION 38.5
   38.5 Information relating to contract market compliance.
17:1.0.1.1.31.1.7.6SECTION 38.6
   38.6 Enforceability.
17:1.0.1.1.31.1.7.7SECTION 38.7
   38.7 Prohibited use of data collected for regulatory purposes.
17:1.0.1.1.31.1.7.8SECTION 38.8
   38.8 Listing of swaps on a designated contract market.
17:1.0.1.1.31.1.7.9SECTION 38.9
   38.9 Boards of trade operating both a designated contract market and a swap execution facility.
17:1.0.1.1.31.1.7.10SECTION 38.10
   38.10 Reporting of swaps traded on a designated contract market.
17:1.0.1.1.31.1.7.11SECTION 38.11
   38.11 Trade execution compliance schedule.
17:1.0.1.1.31.1.7.12SECTION 38.12
   38.12 Process for a designated contract market to make a swap available to trade.
17:1.0.1.1.31.2SUBPART B
Subpart B - Designation as Contract Market
17:1.0.1.1.31.2.7.1SECTION 38.100
   38.100 Core Principle 1.
17:1.0.1.1.31.3SUBPART C
Subpart C - Compliance With Rules
17:1.0.1.1.31.3.7.1SECTION 38.150
   38.150 Core Principle 2.
17:1.0.1.1.31.3.7.2SECTION 38.151
   38.151 Access requirements.
17:1.0.1.1.31.3.7.3SECTION 38.152
   38.152 Abusive trading practices prohibited.
17:1.0.1.1.31.3.7.4SECTION 38.153
   38.153 Capacity to detect and investigate rule violations.
17:1.0.1.1.31.3.7.5SECTION 38.154
   38.154 Regulatory services provided by a third party.
17:1.0.1.1.31.3.7.6SECTION 38.155
   38.155 Compliance staff and resources.
17:1.0.1.1.31.3.7.7SECTION 38.156
   38.156 Automated trade surveillance system.
17:1.0.1.1.31.3.7.8SECTION 38.157
   38.157 Real-time market monitoring.
17:1.0.1.1.31.3.7.9SECTION 38.158
   38.158 Investigations and investigation reports.
17:1.0.1.1.31.3.7.10SECTION 38.159
   38.159 Ability to obtain information.
17:1.0.1.1.31.3.7.11SECTION 38.160
   38.160 Additional sources for compliance.
17:1.0.1.1.31.4SUBPART D
Subpart D - Contracts Not Readily Subject to Manipulation
17:1.0.1.1.31.4.7.1SECTION 38.200
   38.200 Core Principle 3.
17:1.0.1.1.31.4.7.2SECTION 38.201
   38.201 Additional sources for compliance.
17:1.0.1.1.31.5SUBPART E
Subpart E - Prevention of Market Disruption
17:1.0.1.1.31.5.7.1SECTION 38.250
   38.250 Core Principle 4.
17:1.0.1.1.31.5.7.2SECTION 38.251
   38.251 General requirements.
17:1.0.1.1.31.5.7.3SECTION 38.252
   38.252 Additional requirements for physical-delivery contracts.
17:1.0.1.1.31.5.7.4SECTION 38.253
   38.253 Additional requirements for cash-settled contracts.
17:1.0.1.1.31.5.7.5SECTION 38.254
   38.254 Ability to obtain information.
17:1.0.1.1.31.5.7.6SECTION 38.255
   38.255 Risk controls for trading.
17:1.0.1.1.31.5.7.7SECTION 38.256
   38.256 Trade reconstruction.
17:1.0.1.1.31.5.7.8SECTION 38.257
   38.257 Regulatory service provider.
17:1.0.1.1.31.5.7.9SECTION 38.258
   38.258 Additional sources for compliance.
17:1.0.1.1.31.6SUBPART F
Subpart F - Position Limitations or Accountability
17:1.0.1.1.31.6.7.1SECTION 38.300
   38.300 Core Principle 5.
17:1.0.1.1.31.6.7.2SECTION 38.301
   38.301 Position limitations and accountability.
17:1.0.1.1.31.7SUBPART G
Subpart G - Emergency Authority
17:1.0.1.1.31.7.7.1SECTION 38.350
   38.350 Core Principle 6.
17:1.0.1.1.31.7.7.2SECTION 38.351
   38.351 Additional sources for compliance.
17:1.0.1.1.31.8SUBPART H
Subpart H - Availability of General Information
17:1.0.1.1.31.8.7.1SECTION 38.400
   38.400 Core Principle 7.
17:1.0.1.1.31.8.7.2SECTION 38.401
   38.401 General requirements.
17:1.0.1.1.31.9SUBPART I
Subpart I - Daily Publication of Trading Information
17:1.0.1.1.31.9.7.1SECTION 38.450
   38.450 Core Principle 8.
17:1.0.1.1.31.9.7.2SECTION 38.451
   38.451 Reporting of trade information.
17:1.0.1.1.31.10SUBPART J
Subpart J - Execution of Transactions
17:1.0.1.1.31.10.7.1SECTION 38.500
   38.500 Core Principle 9.
17:1.0.1.1.31.11SUBPART K
Subpart K - Trade Information
17:1.0.1.1.31.11.7.1SECTION 38.550
   38.550 Core Principle 10.
17:1.0.1.1.31.11.7.2SECTION 38.551
   38.551 Audit trail required.
17:1.0.1.1.31.11.7.3SECTION 38.552
   38.552 Elements of an acceptable audit trail program.
17:1.0.1.1.31.11.7.4SECTION 38.553
   38.553 Enforcement of audit trail requirements.
17:1.0.1.1.31.12SUBPART L
Subpart L - Financial Integrity of Transactions
17:1.0.1.1.31.12.7.1SECTION 38.600
   38.600 Core Principle 11.
17:1.0.1.1.31.12.7.2SECTION 38.601
   38.601 Mandatory clearing.
17:1.0.1.1.31.12.7.3SECTION 38.602
   38.602 General financial integrity.
17:1.0.1.1.31.12.7.4SECTION 38.603
   38.603 Protection of customer funds.
17:1.0.1.1.31.12.7.5SECTION 38.604
   38.604 Financial surveillance.
17:1.0.1.1.31.12.7.6SECTION 38.605
   38.605 Requirements for financial surveillance program.
17:1.0.1.1.31.12.7.7SECTION 38.606
   38.606 Financial regulatory services provided by a third party.
17:1.0.1.1.31.12.7.8SECTION 38.607
   38.607 Direct access.
17:1.0.1.1.31.13SUBPART M
Subpart M - Protection of Markets and Market Participants
17:1.0.1.1.31.13.7.1SECTION 38.650
   38.650 Core Principle 12.
17:1.0.1.1.31.13.7.2SECTION 38.651
   38.651 Protection of markets and market participants.
17:1.0.1.1.31.14SUBPART N
Subpart N - Disciplinary Procedures
17:1.0.1.1.31.14.7.1SECTION 38.700
   38.700 Core Principle 13.
17:1.0.1.1.31.14.7.2SECTION 38.701
   38.701 Enforcement staff.
17:1.0.1.1.31.14.7.3SECTION 38.702
   38.702 Disciplinary panels.
17:1.0.1.1.31.14.7.4SECTION 38.703
   38.703 Notice of charges.
17:1.0.1.1.31.14.7.5SECTION 38.704
   38.704 Right to representation.
17:1.0.1.1.31.14.7.6SECTION 38.705
   38.705 Answer to charges.
17:1.0.1.1.31.14.7.7SECTION 38.706
   38.706 Denial of charges and right to hearing.
17:1.0.1.1.31.14.7.8SECTION 38.707
   38.707 Hearings.
17:1.0.1.1.31.14.7.9SECTION 38.708
   38.708 Decisions.
17:1.0.1.1.31.14.7.10SECTION 38.709
   38.709 Final decisions.
17:1.0.1.1.31.14.7.11SECTION 38.710
   38.710 Disciplinary sanctions.
17:1.0.1.1.31.14.7.12SECTION 38.711
   38.711 Warning letters.
17:1.0.1.1.31.14.7.13SECTION 38.712
   38.712 Additional sources for compliance.
17:1.0.1.1.31.15SUBPART O
Subpart O - Dispute Resolution
17:1.0.1.1.31.15.7.1SECTION 38.750
   38.750 Core Principle 14.
17:1.0.1.1.31.15.7.2SECTION 38.751
   38.751 Additional sources for compliance.
17:1.0.1.1.31.16SUBPART P
Subpart P - Governance Fitness Standards
17:1.0.1.1.31.16.7.1SECTION 38.800
   38.800 Core Principle 15.
17:1.0.1.1.31.16.7.2SECTION 38.801
   38.801 Additional sources for compliance.
17:1.0.1.1.31.17SUBPART Q
Subpart Q - Conflicts of Interest
17:1.0.1.1.31.17.7.1SECTION 38.850
   38.850 Core Principle 16.
17:1.0.1.1.31.17.7.2SECTION 38.851
   38.851 Additional sources for compliance.
17:1.0.1.1.31.18SUBPART R
Subpart R - Composition of Governing Boards of Contract Markets
17:1.0.1.1.31.18.7.1SECTION 38.900
   38.900 Core Principle 17.
17:1.0.1.1.31.19SUBPART S
Subpart S - Recordkeeping
17:1.0.1.1.31.19.7.1SECTION 38.950
   38.950 Core Principle 18.
17:1.0.1.1.31.19.7.2SECTION 38.951
   38.951 Additional sources for compliance.
17:1.0.1.1.31.20SUBPART T
Subpart T - Antitrust Considerations
17:1.0.1.1.31.20.7.1SECTION 38.1000
   38.1000 Core Principle 19.
17:1.0.1.1.31.20.7.2SECTION 38.1001
   38.1001 Additional sources for compliance.
17:1.0.1.1.31.21SUBPART U
Subpart U - System Safeguards
17:1.0.1.1.31.21.7.1SECTION 38.1050
   38.1050 Core Principle 20.
17:1.0.1.1.31.21.7.2SECTION 38.1051
   38.1051 General requirements.
17:1.0.1.1.31.22SUBPART V
Subpart V - Financial Resources
17:1.0.1.1.31.22.7.1SECTION 38.1100
   38.1100 Core Principle 21.
17:1.0.1.1.31.22.7.2SECTION 38.1101
   38.1101 General requirements.
17:1.0.1.1.31.23SUBPART W
Subpart W - Diversity of Board of Directors
17:1.0.1.1.31.23.7.1SECTION 38.1150
   38.1150 Core Principle 22.
17:1.0.1.1.31.24SUBPART X
Subpart X - Securities and Exchange Commission
17:1.0.1.1.31.24.7.1SECTION 38.1200
   38.1200 Core Principle 23.
17:1.0.1.1.31.24.7.2SECTION 38.1201
   38.1201 Additional sources for compliance.
17:1.0.1.1.31.25SUBPART 0
17:1.0.1.1.31.26.7.1.31APPENDIX Appendix A
   Appendix A to Part 38 - Form DCM
17:1.0.1.1.31.26.7.1.32APPENDIX Appendix B
   Appendix B to Part 38 - Guidance on, and Acceptable Practices in, Compliance With Core Principles
17:1.0.1.1.31.26.7.1.33APPENDIX Appendix C
   Appendix C to Part 38 - Demonstration of Compliance That a Contract Is Not Readily Susceptible to Manipulation