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Code of Federal Regulations (Last Updated: April 5, 2024) |
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Title 17 - Commodity and Securities Exchanges |
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Chapter I - Commodity Futures Trading Commission |
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Part 38 - Designated Contract Markets |
| Subpart A - General Provisions |
| § 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. |
| Subpart B - Designation as Contract Market |
| § 38.100 - Core Principle 1. |
| Subpart C - Compliance With Rules |
| § 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. |
| Subpart D - Contracts Not Readily Subject to Manipulation |
| § 38.200 - Core Principle 3. |
| § 38.201 - Additional sources for compliance. |
| Subpart E - Prevention of Market Disruption |
| § 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. |
| Subpart F - Position Limitations or Accountability |
| § 38.300 - Core Principle 5. |
| § 38.301 - Position limitations and accountability. |
| Subpart G - Emergency Authority |
| § 38.350 - Core Principle 6. |
| § 38.351 - Additional sources for compliance. |
| Subpart H - Availability of General Information |
| § 38.400 - Core Principle 7. |
| § 38.401 - General requirements. |
| Subpart I - Daily Publication of Trading Information |
| § 38.450 - Core Principle 8. |
| § 38.451 - Reporting of trade information. |
| Subpart J - Execution of Transactions |
| § 38.500 - Core Principle 9. |
| Subpart K - Trade Information |
| § 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. |
| Subpart L - Financial Integrity of Transactions |
| § 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. |
| Subpart M - Protection of Markets and Market Participants |
| § 38.650 - Core Principle 12. |
| § 38.651 - Protection of markets and market participants. |
| Subpart N - Disciplinary Procedures |
| § 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. |
| Subpart O - Dispute Resolution |
| § 38.750 - Core Principle 14. |
| § 38.751 - Additional sources for compliance. |
| Subpart P - Governance Fitness Standards |
| § 38.800 - Core Principle 15. |
| § 38.801 - Additional sources for compliance. |
| Subpart Q - Conflicts of Interest |
| § 38.850 - Core Principle 16. |
| § 38.851 - Additional sources for compliance. |
| Subpart R - Composition of Governing Boards of Contract Markets |
| § 38.900 - Core Principle 17. |
| Subpart S - Recordkeeping |
| § 38.950 - Core Principle 18. |
| § 38.951 - Additional sources for compliance. |
| Subpart T - Antitrust Considerations |
| § 38.1000 - Core Principle 19. |
| § 38.1001 - Additional sources for compliance. |
| Subpart U - System Safeguards |
| § 38.1050 - Core Principle 20. |
| § 38.1051 - General requirements. |
| Subpart V - Financial Resources |
| § 38.1100 - Core Principle 21. |
| § 38.1101 - General requirements. |
| Subpart W - Diversity of Board of Directors |
| § 38.1150 - Core Principle 22. |
| Subpart X - Securities and Exchange Commission |
| § 38.1200 - Core Principle 23. |
| § 38.1201 - Additional sources for compliance. |
| Appendix C - Demonstration of Compliance That a Contract Is Not Readily Susceptible to Manipulation |
| Appendix A to Part 38 - Form DCM |
| Appendix B to Part 38 - Guidance on, and Acceptable Practices in, Compliance With Core Principles |
| Appendix C to Part 38 - Demonstration of Compliance That a Contract Is Not Readily Susceptible to Manipulation |