17 CFR Part 38 - DESIGNATED CONTRACT MARKETS

  1. Subpart A - General Provisions (§§ 38.1 - 38.12)
  2. Subpart B - Designation as Contract Market (§ 38.100)
  3. Subpart C - Compliance With Rules (§§ 38.150 - 38.160)
  4. Subpart D - Contracts Not Readily Subject to Manipulation (§§ 38.200 - 38.201)
  5. Subpart E - Prevention of Market Disruption (§§ 38.250 - 38.258)
  6. Subpart F - Position Limitations or Accountability (§§ 38.300 - 38.301)
  7. Subpart G - Emergency Authority (§§ 38.350 - 38.351)
  8. Subpart H - Availability of General Information (§§ 38.400 - 38.401)
  9. Subpart I - Daily Publication of Trading Information (§§ 38.450 - 38.451)
  10. Subpart J - Execution of Transactions (§ 38.500)
  11. Subpart K - Trade Information (§§ 38.550 - 38.553)
  12. Subpart L - Financial Integrity of Transactions (§§ 38.600 - 38.607)
  13. Subpart M - Protection of Markets and Market Participants (§§ 38.650 - 38.651)
  14. Subpart N - Disciplinary Procedures (§§ 38.700 - 38.712)
  15. Subpart O - Dispute Resolution (§§ 38.750 - 38.751)
  16. Subpart P - Governance Fitness Standards (§§ 38.800 - 38.801)
  17. Subpart Q - Conflicts of Interest (§§ 38.850 - 38.851)
  18. Subpart R - Composition of Governing Boards of Contract Markets (§ 38.900)
  19. Subpart S - Recordkeeping (§§ 38.950 - 38.951)
  20. Subpart T - Antitrust Considerations (§§ 38.1000 - 38.1001)
  21. Subpart U - System Safeguards (§§ 38.1050 - 38.1051)
  22. Subpart V - Financial Resources (§§ 38.1100 - 38.1101)
  23. Subpart W - Diversity of Board of Directors (§ 38.1150)
  24. Subpart X - Securities and Exchange Commission (§§ 38.1200 - 38.1201)
  25. SUBPART
  26. Appendix A to Part 38 - Form DCM
  27. Appendix B to Part 38 - Guidance on, and Acceptable Practices in, Compliance With Core Principles
  28. Appendix C to Part 38 - Demonstration of Compliance That a Contract Is Not Readily Susceptible to Manipulation
Authority:
7 U.S.C. 1a, 2, 6, 6a, 6c, 6d, 6e, 6f, 6g, 6i, 6j, 6k, 6l, 6m, 6n, 7, 7a-2, 7b, 7b-1, 7b-3, 8, 9, 15, and 21, as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act, Pub. L. 111-203, 124 Stat. 1376.
Source:
66 FR 42277, Aug. 10, 2001, unless otherwise noted.
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risk assessment', 'cleanpath': '/uscode/text/7/6f'}, {'Title': '7', 'Section': '6g', 'headtext': ' Reporting and recordkeeping', 'cleanpath': '/uscode/text/7/6g'}, {'Title': '7', 'Section': '6i', 'headtext': ' Reports of deals equal to or in excess of trading limits; books and records; cash and controlled transactions', 'cleanpath': '/uscode/text/7/6i'}, {'Title': '7', 'Section': '6j', 'headtext': ' Restrictions on dual trading in security futures products on designated contract markets and registered derivatives transaction execution facilities', 'cleanpath': '/uscode/text/7/6j'}, {'Title': '7', 'Section': '6k', 'headtext': ' Registration of associates of futures commission merchants, commodity pool operators, and commodity trading advisors; required disclosure of disqualifications; exemptions for associated persons', 'cleanpath': '/uscode/text/7/6k'}, {'Title': '7', 'Section': '6l', 'headtext': ' Commodity trading advisors and commodity pool operators; Congressional finding', 'cleanpath': '/uscode/text/7/6l'}, {'Title': '7', 'Section': '6m', 'headtext': ' Use of mails or other means or instrumentalities of interstate commerce by commodity trading advisors and commodity pool operators; relation to other law', 'cleanpath': '/uscode/text/7/6m'}, {'Title': '7', 'Section': '6n', 'headtext': ' Registration of commodity trading advisors and commodity pool operators; application; expiration and renewal; record keeping and reports; disclosure; statements of account', 'cleanpath': '/uscode/text/7/6n'}, {'Title': '7', 'Section': '7', 'headtext': ' Designation of boards of trade as contract markets', 'cleanpath': '/uscode/text/7/7'}, {'Title': '7', 'Section': '7a-2', 'headtext': ' Common provisions applicable to registered entities', 'cleanpath': '/uscode/text/7/7a-2'}, {'Title': '7', 'Section': '7b', 'headtext': ' Suspension or revocation of designation as registered entity', 'cleanpath': '/uscode/text/7/7b'}, {'Title': '7', 'Section': '7b-1', 'headtext': ' Designation of securities exchanges and associations as contract markets', 'cleanpath': '/uscode/text/7/7b-1'}, {'Title': '7', 'Section': '7b-3', 'headtext': ' Swap execution facilities', 'cleanpath': '/uscode/text/7/7b-3'}, {'Title': '7', 'Section': '8', 'headtext': ' Application for designation as contract market or derivatives transaction execution facility; time; suspension or revocation of designation; hearing; review by court of appeals', 'cleanpath': '/uscode/text/7/8'}, {'Title': '7', 'Section': '9', 'headtext': ' Prohibition regarding manipulation and false information', 'cleanpath': '/uscode/text/7/9'}, {'Title': '7', 'Section': '10a', 'headtext': ' Cooperative associations and corporations, exclusion from board of trade; rules of board inapplicable to payment of compensation by association', 'cleanpath': '/uscode/text/7/10a'}, {'Title': '7', 'Section': '12', 'headtext': ' Public disclosure', 'cleanpath': '/uscode/text/7/12'}, {'Title': '7', 'Section': '12a', 'headtext': ' Registration of commodity dealers and associated persons; regulation of registered entities', 'cleanpath': '/uscode/text/7/12a'}, {'Title': '7', 'Section': '12c', 'headtext': ' Disciplinary actions', 'cleanpath': '/uscode/text/7/12c'}, {'Title': '7', 'Section': '13a', 'headtext': ' Nonenforcement of rules of government or other violations; cease and desist orders; fines and penalties; imprisonment; misdemeanor; separate offenses', 'cleanpath': '/uscode/text/7/13a'}, {'Title': '7', 'Section': '13a-1', 'headtext': ' Enjoining or restraining violations', 'cleanpath': '/uscode/text/7/13a-1'}, {'Title': '7', 'Section': '16', 'headtext': ' Commission operations', 'cleanpath': '/uscode/text/7/16'}, {'Title': '7', 'Section': '16a', 'headtext': ' Service fees and National Futures Association study', 'cleanpath': '/uscode/text/7/16a'}, {'Title': '7', 'Section': '19', 'headtext': ' Consideration of costs and benefits and antitrust laws', 'cleanpath': '/uscode/text/7/19'}, {'Title': '7', 'Section': '21', 'headtext': ' Registered futures associations', 'cleanpath': '/uscode/text/7/21'}, {'Title': '7', 'Section': '23', 'headtext': ' Standardized contracts for certain commodities', 'cleanpath': '/uscode/text/7/23'}, {'Title': '7', 'Section': '24', 'headtext': ' Customer property with respect to commodity broker debtors; definitions', 'cleanpath': '/uscode/text/7/24'}], 'Statutes at Large': [{'Volume': '124', 'Page': '1376', 'headtext': '124 Stat. 1376', 'cleanpath': 'https://www.law.cornell.edu/rio/citation/124_Stat._1376'}], 'Public Laws': [], 'Presidential Documents': []}