Title 17

PART 39

Part 39 - Derivatives Clearing Organizations

PART 39 - DERIVATIVES CLEARING ORGANIZATIONS Authority:7 U.S.C. 2, 6(c), 7a-1, and 12a(5); 12 U.S.C. 5464; 15 U.S.C. 8325; Section 752 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Pub. L. 111-203, title VII, sec. 752, July 21, 2010, 124 Stat. 1749. Source:76 FR 69430, Nov. 8, 2011, unless otherwise noted.

17:1.0.1.1.32.1SUBPART A
Subpart A - General Provisions Applicable to Derivatives Clearing Organizations
17:1.0.1.1.32.1.7.1SECTION 39.1
   39.1 Scope.
17:1.0.1.1.32.1.7.2SECTION 39.2
   39.2 Definitions.
17:1.0.1.1.32.1.7.3SECTION 39.3
   39.3 Procedures for registration.
17:1.0.1.1.32.1.7.4SECTION 39.4
   39.4 Procedures for implementing derivatives clearing organization rules and clearing new products.
17:1.0.1.1.32.1.7.5SECTION 39.5
   39.5 Review of swaps for Commission determination on clearing requirement.
17:1.0.1.1.32.1.7.6SECTION 39.6
   39.6 Exemption from derivatives clearing organization registration.
17:1.0.1.1.32.1.7.7SECTION 39.7
   39.7 Enforceability.
17:1.0.1.1.32.1.7.8SECTION 39.8
   39.8 Fraud in connection with the clearing of transactions on a derivatives clearing organization.
17:1.0.1.1.32.2SUBPART B
Subpart B - Compliance with Core Principles
17:1.0.1.1.32.2.7.1SECTION 39.9
   39.9 Scope.
17:1.0.1.1.32.2.7.2SECTION 39.10
   39.10 Compliance with core principles.
17:1.0.1.1.32.2.7.3SECTION 39.11
   39.11 Financial resources.
17:1.0.1.1.32.2.7.4SECTION 39.12
   39.12 Participant and product eligibility.
17:1.0.1.1.32.2.7.5SECTION 39.13
   39.13 Risk management.
17:1.0.1.1.32.2.7.6SECTION 39.14
   39.14 Settlement procedures.
17:1.0.1.1.32.2.7.7SECTION 39.15
   39.15 Treatment of funds.
17:1.0.1.1.32.2.7.8SECTION 39.16
   39.16 Default rules and procedures.
17:1.0.1.1.32.2.7.9SECTION 39.17
   39.17 Rule enforcement.
17:1.0.1.1.32.2.7.10SECTION 39.18
   39.18 System safeguards.
17:1.0.1.1.32.2.7.11SECTION 39.19
   39.19 Reporting.
17:1.0.1.1.32.2.7.12SECTION 39.20
   39.20 Recordkeeping.
17:1.0.1.1.32.2.7.13SECTION 39.21
   39.21 Public information.
17:1.0.1.1.32.2.7.14SECTION 39.22
   39.22 Information sharing.
17:1.0.1.1.32.2.7.15SECTION 39.23
   39.23 Antitrust considerations.
17:1.0.1.1.32.2.7.16SECTION 39.24
   39.24 Governance.
17:1.0.1.1.32.2.7.17SECTION 39.25
   39.25 Conflicts of interest.
17:1.0.1.1.32.2.7.18SECTION 39.26
   39.26 Composition of governing boards.
17:1.0.1.1.32.2.7.19SECTION 39.27
   39.27 Legal risk considerations.
17:1.0.1.1.32.2.7.20SECTION 39.28-39.29
   39.28-39.29 [Reserved]
17:1.0.1.1.32.3SUBPART
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
17:1.0.1.1.32.3.7.1SECTION 39.30
   39.30 Scope.
17:1.0.1.1.32.3.7.2SECTION 39.31
   39.31 Election to become subject to the provisions of this subpart.
17:1.0.1.1.32.3.7.3SECTION 39.32
   39.32 [Reserved]
17:1.0.1.1.32.3.7.4SECTION 39.33
   39.33 Financial resources requirements for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
17:1.0.1.1.32.3.7.5SECTION 39.34
   39.34 System safeguards for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
17:1.0.1.1.32.3.7.6SECTION 39.35
   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.
17:1.0.1.1.32.3.7.7SECTION 39.36
   39.36 Risk management for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
17:1.0.1.1.32.3.7.8SECTION 39.37
   39.37 Additional disclosure for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
17:1.0.1.1.32.3.7.9SECTION 39.38
   39.38 Efficiency for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
17:1.0.1.1.32.3.7.10SECTION 39.39
   39.39 Recovery and wind-down for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
17:1.0.1.1.32.3.7.11SECTION 39.40
   39.40 Consistency with the Principles for Financial Market Infrastructures.
17:1.0.1.1.32.3.7.12SECTION 39.41
   39.41 Special enforcement authority for systemically important derivatives clearing organizations.
17:1.0.1.1.32.3.7.13SECTION 39.42
   39.42 Advance notice of material risk-related rule changes by systemically important derivatives clearing organizations.
17:1.0.1.1.32.3.7.14SECTION 39.43-39.49
   39.43-39.49 [Reserved]
17:1.0.1.1.32.4SUBPART D
Subpart D - Provisions Applicable to Derivatives Clearing Organizations Subject to Compliance with Core Principles Through Compliance with Home Country Regulatory Regime
17:1.0.1.1.32.4.7.1SECTION 39.50
   39.50 Scope.
17:1.0.1.1.32.4.7.2SECTION 39.51
   39.51 Compliance with the core principles through compliance with home country regulatory regime.
17:1.0.1.1.32.4.7.3.34APPENDIX Appendix A
   Appendix A to Part 39 - Form DCO Derivatives Clearing Organization Application for Registration
17:1.0.1.1.32.4.7.3.35APPENDIX Appendix B
   Appendix B to Part 39 - Subpart C Election Form