Browse Federal regulations

Read the original sections, or search by topic.

17 CFR 38.1050 · Core Principle 20.
17 CFR 38.1051 · General requirements.
17 CFR 38.1100 · Core Principle 21.
17 CFR 38.1101 · General requirements.
17 CFR 38.1150 · Core Principle 22.
17 CFR 38.1200 · Core Principle 23.
17 CFR 38.1201 · Additional sources for compliance.
17 CFR Appendix A to Part 38 · Appendix A to Part 38—Form DCM
17 CFR Appendix B to Part 38 · Appendix B to Part 38—Guidance on, and Acceptable Practices in, Compliance With Core Principles
17 CFR Appendix C to Part 38 · Appendix C to Part 38—Demonstration of Compliance That a Contract Is Not Readily Susceptible to Manipulation
17 CFR 39.1 · Scope.
17 CFR 39.2 · Definitions.
17 CFR 39.3 · Procedures for registration.
17 CFR 39.4 · Procedures for implementing derivatives clearing organization rules and clearing new products.
17 CFR 39.5 · Review of swaps for Commission determination on clearing requirement.
17 CFR 39.6 · Exemption from derivatives clearing organization registration.
17 CFR 39.7 · Enforceability.
17 CFR 39.8 · Fraud in connection with the clearing of transactions on a derivatives clearing organization.
17 CFR 39.9 · Scope.
17 CFR 39.10 · Compliance with core principles.
17 CFR 39.11 · Financial resources.
17 CFR 39.12 · Participant and product eligibility.
17 CFR 39.13 · Risk management.
17 CFR 39.14 · Settlement procedures.
17 CFR 39.15 · Treatment of funds.
17 CFR 39.16 · Default rules and procedures.
17 CFR 39.17 · Rule enforcement.
17 CFR 39.18 · System safeguards.
17 CFR 39.19 · Reporting.
17 CFR 39.20 · Recordkeeping.
17 CFR 39.21 · Public information.
17 CFR 39.22 · Information sharing.
17 CFR 39.23 · Antitrust considerations.
17 CFR 39.24 · Governance.
17 CFR 39.25 · Conflicts of interest.
17 CFR 39.26 · Composition of governing boards.
17 CFR 39.27 · Legal risk considerations.
17 CFR 39.28-39.29 · §§ 39.28-39.29 [Reserved]
17 CFR 39.30 · Scope.
17 CFR 39.31 · Election to become subject to the provisions of this subpart.
17 CFR 39.32 · [Reserved]
17 CFR 39.33 · Financial resources requirements for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
17 CFR 39.34 · System safeguards for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
17 CFR 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.
17 CFR 39.36 · Risk management for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
17 CFR 39.37 · Additional disclosure for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
17 CFR 39.38 · Efficiency for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
17 CFR 39.39 · Recovery and wind-down for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
17 CFR 39.40 · Consistency with the Principles for Financial Market Infrastructures.
17 CFR 39.41 · Special enforcement authority for systemically important derivatives clearing organizations.
17 CFR 39.42 · Advance notice of material risk-related rule changes by systemically important derivatives clearing organizations.
17 CFR 39.43-39.49 · §§ 39.43-39.49 [Reserved]
17 CFR 39.50 · Scope.
17 CFR 39.51 · Compliance with the core principles through compliance with home country regulatory regime.
17 CFR Appendix A to Part 39 · Appendix A to Part 39—Form DCO Derivatives Clearing Organization Application for Registration
17 CFR Appendix B to Part 39 · Appendix B to Part 39—Subpart C Election Form
17 CFR Appendix C to Part 39 · Appendix C to Part 39—Daily Reporting Data Fields
17 CFR 40.1 · Definitions.
17 CFR 40.2 · Listing products for trading by certification.
17 CFR 40.3 · Voluntary submission of new products for Commission review and approval.
17 CFR 40.4 · Amendments to terms or conditions of enumerated agricultural products.
17 CFR 40.5 · Voluntary submission of rules for Commission review and approval.
17 CFR 40.6 · Self-certification of rules.
17 CFR 40.7 · Delegations.
17 CFR 40.8 · Availability of public information.
17 CFR 40.9 · [Reserved]
17 CFR 40.10 · Special certification procedures for submission of rules by systemically important derivatives clearing organizations.
17 CFR 40.11 · Review of event contracts based upon certain excluded commodities.
17 CFR 40.12 · Staying of certification and tolling of review period pending jurisdictional determination.
17 CFR Appendix A to Part 40 · Appendix A to Part 40—Schedule of Fees
17 CFR Appendixes B-C to Part 40 · Appendixes B-C to Part 40 [Reserved]
17 CFR Appendix D to Part 40 · Appendix D to Part 40—Submission Instructions for Rules and Products
17 CFR Appendix E to Part 40 · Appendix E to Part 40—Guidance on Compliance With the Materiality Assessment in § 40.4
17 CFR 41.1 · Definitions.
17 CFR 41.2 · Required records.
17 CFR 41.3 · Application for an exemptive order pursuant to section 4f(a)(4)(B) of the Act.
17 CFR 41.4-41.9 · §§ 41.4-41.9 [Reserved]
17 CFR 41.11 · Method for determining market capitalization and dollar value of average daily trading volume; application of the definition of narrow-based security index.
17 CFR 41.12 · Indexes underlying futures contracts trading for fewer than 30 days.
17 CFR 41.13 · Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade.
17 CFR 41.14 · Transition period for indexes that cease being narrow-based security indexes.
17 CFR 41.15 · Exclusion from definition of narrow-based security index for indexes composed of debt securities.
17 CFR 41.21 · Requirements for underlying securities.
17 CFR 41.22 · Required certifications.
17 CFR 41.23 · Listing of security futures products for trading.
17 CFR 41.24 · Rule amendments to security futures products.
17 CFR 41.25 · Additional conditions for trading for security futures products.
17 CFR 41.27 · Prohibition of dual trading in security futures products by floor brokers.
17 CFR Appendix A to Subpart C of Part 41 · Appendix A to Subpart C of Part 41—Guidance on and Acceptable Practices for Position Limits and Position Accountability for Security Futures Products
17 CFR 41.31 · Notice-designation requirements.
17 CFR 41.32 · Continuing obligations.
17 CFR 41.33 · Applications for exemptive orders.
17 CFR 41.34 · Exempt Provisions.
17 CFR 41.41 · Security futures products accounts.
17 CFR 41.42 · Customer margin requirements for security futures—authority, purpose, interpretation, and scope.
17 CFR 41.43 · Definitions.
17 CFR 41.44 · General provisions.
17 CFR 41.45 · Required margin.
17 CFR 41.46 · Type, form and use of margin.
17 CFR 41.47 · Withdrawal of margin.