[Code of Federal Regulations]
[Title 17, Volume 1]
[Revised as of April 1, 2007]
From the U.S. Government Printing Office via GPO Access
[CITE: 17CFR39.5]

[Page 440-441]
 
              TITLE 17--COMMODITY AND SECURITIES EXCHANGES
 
             CHAPTER I--COMMODITY FUTURES TRADING COMMISSION
 
PART 39_DERIVATIVES CLEARING ORGANIZATIONS--Table of Contents
 
Sec.  39.5  Information relating to derivatives clearing organization 

operations.

    (a) Upon request by the Commission, a derivatives clearing 
organization shall file with the Commission such information related to 
its business as a clearing organization, including information relating 
to trade and clearing details, in the form and manner and within the 
time as specified by the Commission in the request.
    (b) Upon request by the Commission, a derivatives clearing 
organization shall file with the Commission a written demonstration, 
containing such supporting data, information and documents, in the form 
and manner and within such time as the Commission may specify that the 
derivatives clearing organization is in compliance with one or more core 
principles as specified in the request.
    (c) Information regarding transactions by large traders cleared by a 
derivatives clearing organization shall be filed with the Commission, in 
a form and manner acceptable to the Commission, by futures commission 
merchants, clearing members, foreign brokers or registered entities 
other than a derivatives clearing organization, as applicable. Provided, 
however, that if no such person or entity is required to file large 
trader information with the Commission, such information must be filed 
with the Commission by a derivatives clearing organization.
    (d) Upon special call by the Commission, each futures commission 
merchant, clearing member or foreign

[[Page 441]]

broker shall provide information to the Commission concerning customer 
accounts or related positions cleared on a derivatives clearing 
organization or other multilateral clearing organization in the form and 
manner and within the time specified by the Commission in the special 
call.