Title 17

PART 39 SUBPART B

Subpart B - Compliance with Core Principles

• 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.
• 76 FR 69430, Nov. 8, 2011, unless otherwise noted.

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]

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