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.

• 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.

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

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