CFR /  Title 17  /  Part 38: Designated Contract Markets

Section No.	Description
Section 38.1	Exempt provisions
Section 38.2	Procedures for designation
Section 38.3	Procedures for listing products and implementing contract market rules
Section 38.4	Information relating to contract market compliance
Section 38.5	Enforceability
Section 38.6	Prohibited use of data collected for regulatory purposes
Section 38.7	Listing of swaps on a designated contract market
Section 38.8	Boards of trade operating both a designated contract market and a swap execution facility
Section 38.9	Reporting of swaps traded on a designated contract market
Section 38.10	Trade execution compliance schedule
Section 38.11	Process for a designated contract market to make a swap available to trade
Section 38.12	Core Principle 1
Section 38.100	Core Principle 2
Section 38.150	Access requirements
Section 38.151	Abusive trading practices prohibited
Section 38.152	Capacity to detect and investigate rule violations
Section 38.153	Regulatory services provided by a third party
Section 38.154	Compliance staff and resources
Section 38.155	Automated trade surveillance system
Section 38.156	Real-time market monitoring
Section 38.157	Investigations and investigation reports
Section 38.158	Ability to obtain information
Section 38.159	Additional sources for compliance
Section 38.160	Core Principle 3
Section 38.200	Additional sources for compliance
Section 38.201	Core Principle 4
Section 38.250	General requirements
Section 38.251	Additional requirements for physical-delivery contracts
Section 38.252	Additional requirements for cash-settled contracts
Section 38.253	Ability to obtain information
Section 38.254	Risk controls for trading
Section 38.255	Trade reconstruction
Section 38.256	Regulatory service provider
Section 38.257	Additional sources for compliance
Section 38.258	Core Principle 5
Section 38.300	Position limitations and accountability
Section 38.301	Core Principle 6
Section 38.350	Additional sources for compliance
Section 38.351	Core Principle 7
Section 38.400	General requirements
Section 38.401	Core Principle 8
Section 38.450	Reporting of trade information
Section 38.451	Core Principle 9
Section 38.500	Core Principle 10
Section 38.550	Audit trail required
Section 38.551	Elements of an acceptable audit trail program
Section 38.552	Enforcement of audit trail requirements
Section 38.553	Core Principle 11
Section 38.600	Mandatory clearing
Section 38.601	General financial integrity
Section 38.602	Protection of customer funds
Section 38.603	Financial surveillance
Section 38.604	Requirements for financial surveillance program
Section 38.605	Financial regulatory services provided by a third party
Section 38.606	Direct access
Section 38.607	Core Principle 12
Section 38.650	Protection of markets and market participants
Section 38.651	Core Principle 13
Section 38.700	Enforcement staff
Section 38.701	Disciplinary panels
Section 38.702	Notice of charges
Section 38.703	Right to representation
Section 38.704	Answer to charges
Section 38.705	Denial of charges and right to hearing
Section 38.706	Hearings
Section 38.707	Decisions
Section 38.708	Final decisions
Section 38.709	Disciplinary sanctions
Section 38.710	Warning letters
Section 38.711	Additional sources for compliance
Section 38.712	Core Principle 14
Section 38.750	Additional sources for compliance
Section 38.751	Core Principle 15
Section 38.800	Additional sources for compliance
Section 38.801	Core Principle 16
Section 38.850	Additional sources for compliance
Section 38.851	Core Principle 17
Section 38.900	Core Principle 18
Section 38.950	Additional sources for compliance
Section 38.951	Core Principle 19
Section 38.1000	Additional sources for compliance
Section 38.1001	Core Principle 20
Section 38.1050	General requirements
Section 38.1051	Core Principle 21
Section 38.1100	General requirements
Section 38.1101	Core Principle 22
Section 38.1150	Core Principle 23
Section 38.1200	Additional sources for compliance
Section 38.1201	Scope