Title 17--Commodity and Securities Exchanges
CHAPTER I--COMMODITY FUTURES
TRADING COMMISSION
PART 1--GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT
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| 1.1 |
Words in singular and plural form. |
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| 1.2 |
Liability of principal for act of agent. |
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| 1.3 |
Definitions. |
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| 1.10 |
Financial reports of futures commission merchants and introducing brokers. |
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| 1.12 |
Maintenance of minimum financial requirements by futures commission merchants and introducing brokers. |
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| 1.14 |
Risk assessment recordkeeping requirements for futures commission merchants. |
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| 1.15 |
Risk assessment reporting requirements for futures commission merchants. |
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| 1.16 |
Qualifications and reports of accountants. |
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| 1.17 |
Minimum financial requirements for futures commission merchants and introducing brokers. |
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| 1.18 |
Records for and relating to financial reporting and monthly computation by futures commission merchants and introducing brokers. |
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| 1.19 |
Prohibited trading in certain ``puts'' and ``calls''. |
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| 1.20 |
Customer funds to be segregated and separately accounted for. |
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| 1.21 |
Care of money and equities accruing to customers. |
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| 1.22 |
Use of customer funds restricted. |
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| 1.23 |
Interest of futures commission merchant in segregated funds; additions and withdrawals. |
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| 1.24 |
Segregated funds; exclusions therefrom. |
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| 1.25 |
Investment of customer funds. |
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| 1.26 |
Deposit of obligations purchased with customer funds. |
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| 1.27 |
Record of investments. |
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| 1.28 |
Appraisal of obligations purchased with customer funds. |
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| 1.29 |
Increment or interest resulting from investment of customer funds. |
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| 1.30 |
Loans by futures commission merchants; treatment of proceeds. |
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| 1.31 |
Books and records; keeping and inspection. |
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| 1.32 |
Segregated account; daily computation and record. |
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| 1.33 |
Monthly and confirmation statements. |
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| 1.34 |
Monthly record, ``point balance''. |
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| 1.35 |
Records of cash commodity, futures, and option transactions. |
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| 1.36 |
Record of securities and property received from customers and option customers. |
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| 1.37 |
Customer's or option customer's name, address, and occupation recorded; record of guarantor or controller of account. |
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| 1.38 |
Execution of transactions. |
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| 1.39 |
Simultaneous buying and selling orders of different principals; execution of, for and between principals. |
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| 1.40 |
Crop, market information letters, reports; copies required. |
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| 1.41 |
Contract market rules; submission of rules to the Commission; exemption of certain rules. |
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| 1.41a |
Delegation of authority to the Directors of the Division of Trading and Markets and the Division of Economic Analysis to process certain contract market rules. |
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| 1.41b |
Delegation of authority to the Director of the Division of Trading and Markets and Director of the Division of Economic Analysis. |
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| 1.41c |
Delegation of authority to the Director of the Division of Trading and Markets to receive notice of an emergency action. |
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| 1.42 |
Delivery notice; filing of copy. |
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| 1.43 |
Information required concerning warehouses. |
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| 1.44 |
Records and reports of warehouses, depositories, and other similar entities; visitation of premises. |
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| 1.45 |
Delivery of commodities conforming to United States standards. |
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| 1.46 |
Application and closing out of offsetting long and short positions. |
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| 1.47 |
Requirements for classification of purchases or sales of contracts for future delivery as bona fide hedging under 1.3(z)(3) of the regulations. |
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| 1.48 |
Requirements for classification of sales or purchases for future delivery as bona fide hedging of unsold anticipated production or unfilled anticipated requirements under 1.3(z)(2) (i)(B) or (ii)(C) of the regulations. |
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| 1.50 |
Demonstration of continued compliance with the requirements for contract market designation. |
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| 1.51 |
Contract market program for enforcement. |
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| 1.52 |
Self-regulatory organization adoption and surveillance of minimum financial requirements. |
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| 1.53 |
Enforcement of contract market bylaws, rules, regulations, and resolutions. |
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| 1.54 |
Contract market rules submitted to and approved or not disapproved by the Secretary of Agriculture. |
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| 1.55 |
Distribution of ``Risk Disclosure Statement'' by futures commission merchants and introducing brokers.
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| 1.56 |
Prohibition of guarantees against loss. |
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| 1.57 |
Operations and activities of introducing brokers. |
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| 1.58 |
Gross collection of exchange-set margins. |
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| 1.59 |
Activities of self-regulatory organization employees and governing members who possess material, non-public information. |
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| 1.60 |
Pending legal proceedings. |
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| 1.61 |
Speculative position limits. |
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| 1.62 |
Contract market requirement for floor broker and floor trader registration. |
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| 1.63 |
Service on self-regulatory organization governing boards or committees by persons with disciplinary histories. |
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| 1.64 |
Composition of various self-regulatory organization governing boards and major disciplinary committees. |
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| 1.65 |
Notice of bulk transfers and disclosure obligations to customers. |
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| 1.66 |
No-action positions with respect to floor traders. |
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| 1.67 |
Notification of final disciplinary action involving financial harm to a customer. |
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| 1.69 |
Voting by interested members of self-regulatory organization governing boards and various committees. |
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| 1.70 |
Notification of State enforcement actions brought under the Commodity Exchange Act. |