U.S. Code of Federal Regulations

Regulations most recently checked for updates: Aug 27, 2025

All TitlesTitle 17Chapter IPart 39Subpart 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]
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