17 C.F.R. PART 1--GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT
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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| Fraud in or in connection with transactions in foreign currency subject to the Commodity Exchange Act.
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| Liability of principal for act of agent.
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| Use of electronic signatures.
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| Financial reports of futures commission merchants and introducing brokers.
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| Maintenance of minimum financial requirements by futures commission merchants and introducing brokers.
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| Risk assessment recordkeeping requirements for futures commission merchants.
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| Risk assessment reporting requirements for futures commission merchants.
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| Qualifications and reports of accountants.
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| Minimum financial requirements for futures commission merchants and introducing brokers.
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| Records for and relating to financial reporting and monthly computation by futures commission merchants and introducing brokers.
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| Prohibited trading in certain ''puts'' and ''calls''.
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| Customer funds to be segregated and separately accounted for.
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| Care of money and equities accruing to customers.
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| Use of customer funds restricted.
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| Interest of futures commission merchant in segregated funds; additions and withdrawals.
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| Segregated funds; exclusions therefrom.
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| Investment of customer funds.
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| Deposit of instruments purchased with customer funds.
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| Appraisal of instruments purchased with customer funds.
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| Increment or interest resulting from investment of customer funds.
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| Loans by futures commission merchants; treatment of proceeds.
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| Books and records; keeping and inspection.
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| Segregated account; daily computation and record.
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| Monthly and confirmation statements.
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| Monthly record, ''point balance''.
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| Records of cash commodity, futures, and option transactions.
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| Record of securities and property received from customers and option customers.
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| Customer's or option customer's name, address, and occupation recorded; record of guarantor or controller of account.
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| Execution of transactions.
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| Simultaneous buying and selling orders of different principals; execution of, for and between principals.
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| Crop, market information letters, reports; copies required.
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| Records and reports of warehouses, depositories, and other similar entities; visitation of premises.
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| Application and closing out of offsetting long and short positions.
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| 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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| 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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| Denomination of customer funds and location of depositories.
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| Self-regulatory organization adoption and surveillance of minimum financial requirements.
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| Enforcement of contract market bylaws, rules, regulations, and resolutions.
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| Contract market rules submitted to and approved or not disapproved by the Secretary of Agriculture.
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| Distribution of ''Risk Disclosure Statement'' by futures commission merchants and introducing brokers.
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| Prohibition of guarantees against loss.
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| Operations and activities of introducing brokers.
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| Gross collection of exchange-set margins.
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| Activities of self-regulatory organization employees, governing board members, committee members, and consultants.
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| Pending legal proceedings.
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| Contract market requirement for floor broker and floor trader registration.
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| Service on self-regulatory organization governing boards or committees by persons with disciplinary histories.
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| Composition of various self-regulatory organization governing boards and major disciplinary committees.
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| Notice of bulk transfers and disclosure obligations to customers.
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| No-action positions with respect to floor traders.
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| Notification of final disciplinary action involving financial harm to a customer.
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| Customer election not to have funds, carried by a futures commission merchant for trading on a registered derivatives transaction execution facility, separately accounted for and segregated.
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| Voting by interested members of self-regulatory organization governing boards and various committees.
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| Notification of State enforcement actions brought under the Commodity Exchange Act.
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