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
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
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
Subpart G — Emergency Authority
Subpart H — Availability of General Information
Subpart I — Daily Publication of Trading Information
Subpart J — Execution of Transactions
Subpart K — Trade Information
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
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.