Subpart B—Compliance with Core Principles

1. CFR
2. ›
3. Title 17
4. ›
5. Chapter I
6. ›
7. Part 39
8. ›
9. Subpart B

Sections

• 39.9
  § 39.9 Scope.
• 39.10
  § 39.10 Compliance with core principles.
• 39.11
  § 39.11 Financial resources.
• 39.12
  § 39.12 Participant and product eligibility.
• 39.13
  § 39.13 Risk management.
• 39.14
  § 39.14 Settlement procedures.
• 39.15
  § 39.15 Treatment of funds.
• 39.16
  § 39.16 Default rules and procedures.
• 39.17
  § 39.17 Rule enforcement.
• 39.18
  § 39.18 System safeguards.
• 39.19
  § 39.19 Reporting.
• 39.20
  § 39.20 Recordkeeping.
• 39.21
  § 39.21 Public information.
• 39.22
  § 39.22 Information sharing.
• 39.23
  § 39.23 Antitrust considerations.
• 39.24
  § 39.24 Governance.
• 39.25
  § 39.25 Conflicts of interest.
• 39.26
  § 39.26 Composition of governing boards.
• 39.27
  § 39.27 Legal risk considerations.
• 39.28-39.29
  §§ 39.28-39.29 [Reserved]