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 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

Authority

7 U.S.C. 2, 5, 6, 6c, 7, 7a–2 and 12a, as amended by appendix E of Pub. L. 106–554, 114 Stat. 2763A–365.

Source

66 FR 42277, Aug. 10, 2001, unless otherwise noted.