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Regulations last checked for updates: May 23, 2025
Title 17 - Commodity and Securities Exchanges last revised: Apr 22, 2025
All Titles
Title 17
Chapter I
Part 39
Subpart B - Subpart B—Compliance with Core Principles
§ 39.9 - Scope.
§ 39.10 - Compliance with core principles.
§ 39.11 - Financial resources.
§ 39.12 - Participant and product eligibility.
§ 39.13 - Risk management.
§ 39.14 - Settlement procedures.
§ 39.15 - Treatment of funds.
§ 39.16 - Default rules and procedures.
§ 39.17 - Rule enforcement.
§ 39.18 - System safeguards.
§ 39.19 - Reporting.
§ 39.20 - Recordkeeping.
§ 39.21 - Public information.
§ 39.22 - Information sharing.
§ 39.23 - Antitrust considerations.
§ 39.24 - Governance.
§ 39.25 - Conflicts of interest.
§ 39.26 - Composition of governing boards.
§ 39.27 - Legal risk considerations.
§§ 39.28-39.29 - §[Reserved]
authority:
7 U.S.C. 2
,
6
,
7a
,
and
;
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.
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