Compliance with Core Principles

  1. Law
  2. CFR 17
  3. Commodity and Securities Exchanges
  4. Commodity Futures Trading Commission
  5. Derivatives Clearing Organizations
  6. Compliance with Core Principles

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Section
39.9

Scope.

Section
39.10

Compliance with core principles.

Section
39.11

Financial resources.

Section
39.12

Participant and product eligibility.

Section
39.13

Risk management.

Section
39.14

Settlement procedures.

Section
39.15

Treatment of funds.

Section
39.16

Default rules and procedures.

Section
39.17

Rule enforcement.

Section
39.18

System safeguards.

Section
39.19

Reporting.

Section
39.20

Recordkeeping.

Section
39.21

Public information.

Section
39.22

Information sharing.

Section
39.23

Antitrust considerations.

Section
39.24

Governance.

Section
39.25

Conflicts of interest.

Section
39.26

Composition of governing boards.

Section
39.27

Legal risk considerations.

Sections
39.28-39.29

§§ 39.28-39.29 [Reserved]