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— Composition of governing boards.
- § 39.27— Legal risk considerations.
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
- § 39.30— Scope.
- § 39.31— Election to become subject to the provisions of this subpart.
- § 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.
- § 39.35— Default rules and procedures for uncovered credit losses or liquidity shortfalls (recovery) 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.