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Code of Federal Regulations (Last Updated: May 6, 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 39 - Derivatives Clearing Organizations |
| 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. |
| 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 - xxx |
| § 39.27 - Legal risk considerations. |
| Appendix to Part 39 - Form DCO Derivatives Clearing Organization Application for Registrations |
| §§ 39.24--39.26 - [Reserved] |
| §§ 39.28--329.29 - [Reserved] |
| §§ 39.28--39.29 - [Reserved] |
| 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 |
| § 39.28 - Scope. |
| § 39.29 - Financial resources requirements. |
| § 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. |
| § 39.36 - 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] |
| 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 A to Part 39 - Form DCO Derivatives Clearing Organization Application for Registration |
| Appendix B to Part 39 - Subpart C Election Form |
| Appendix C to Part 39 - —Daily Reporting Data Fields |