Part 41 - Security Futures Products  


Subpart A - General Provisions
§ 41.1 - Definitions.
§ 41.2 - Required records.
§ 41.3 - Application for an exemptive order pursuant to section 4f(a)(4)(B) of the Act.
§§ 41.3--41.9 - [Reserved]
§§ 41.4--41.9 - [Reserved]
Subpart B - Narrow-Based Security Indexes
§ 41.11 - Method for determining market capitalization and dollar value of average daily trading volume; application of the definition of narrow-based security index.
§ 41.12 - Indexes underlying futures contracts trading for fewer than 30 days.
§ 41.13 - Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade.
§ 41.14 - Transition period for indexes that cease being narrow-based security indexes.
§ 41.15 - Exclusion from definition of narrow-based security index for indexes composed of debt securities.
Subpart C - Requirements and Standards for Listing Security Futures Products
§ 41.21 - Requirements for underlying securities.
§ 41.22 - Required certifications.
§ 41.23 - Listing of security futures products for trading.
§ 41.24 - Rule amendments to security futures products.
§ 41.25 - Additional conditions for trading for security futures products.
§ 41.27 - Prohibition of dual trading in security futures products by floor brokers.
Appendix A to Subpart C of Part 41 - —Guidance on and Acceptable Practices for Position Limits and Position Accountability for Security Futures Products
Appendix A to Subpart C to Part 41 - XXX
Subpart D - Notice-Designated Contract Markets in Security Futures Products
§ 41.31 - Notice-designation requirements.
§ 41.32 - Continuing obligations.
§ 41.33 - Applications for exemptive orders.
§ 41.34 - Exempt Provisions.
Subpart E - Customer Accounts and Margin Requirements
§ 41.41 - Security futures products accounts.
§ 41.42 - Customer margin requirements for security futures - authority, purpose, interpretation, and scope.
§ 41.43 - Definitions.
§ 41.44 - General provisions.
§ 41.45 - Required margin.
§ 41.46 - Type, form and use of margin.
§ 41.47 - Withdrawal of margin.
§ 41.48 - Undermargined accounts.
§ 41.49 - Filing proposed margin rule changes with the Commission.