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Code of Federal Regulations (Last Updated: May 6, 2024) |
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Title 17 - Commodity and Securities Exchanges |
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Chapter I - Commodity Futures Trading Commission |
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Part 1 - General Regulations Under the Commodity Exchange Act |
| Definitions |
| § 1.1 - [Reserved] |
| § 1.2 - Liability of principal for act of agent. |
| § 1.3 - Definitions. |
| § 1.4 - Electronic signatures, acknowledgments and verifications. |
| § 1.5 - [Reserved] |
| § 1.6 - Anti-evasion. |
| § 1.7 - Books and records requirements for security-based swap agreements. |
| § 1.8 - Requests for interpretation of swaps, security-based swaps, and mixed swaps. |
| § 1.9 - Regulation of mixed swaps. |
| Prohibited Trading in Commodity Options |
| § 1.19 - Prohibited trading in certain “puts” and “calls”. |
| Minimum Financial and Related Reporting Requirements |
| § 1.10 - Financial reports of futures commission merchants and introducing brokers. |
| § 1.11 - Risk Management Program for futures commission merchants. |
| § 1.12 - Maintenance of minimum financial requirements by futures commission merchants and introducing brokers. |
| § 1.13 - [Reserved] |
| § 1.14 - Risk assessment recordkeeping requirements for futures commission merchants. |
| § 1.15 - Risk assessment reporting requirements for futures commission merchants. |
| § 1.16 - Qualifications and reports of accountants. |
| § 1.17 - Minimum financial requirements for futures commission merchants and introducing brokers. |
| § 1.18 - Records for and relating to financial reporting and monthly computation by futures commission merchants and introducing brokers. |
| Miscellaneous |
| § 1.40 - Crop, market information letters, reports; copies required. |
| § 1.41 - xxx |
| § 1.42 - xxx |
| § 1.43 - xxx |
| § 1.44 - Records and reports of warehouses, depositories, and other similar entities; visitation of premises. |
| § 1.45 - [Reserved] |
| § 1.46 - Application and closing out of offsetting long and short positions. |
| § 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. |
| § 1.49 - Denomination of customer funds and location of depositories. |
| § 1.50 - Demonstration of continued compliance with the requirements for contract market designation. |
| §§ 1.50--1.51 - [Reserved] |
| § 1.51 - Contract market program for enforcement. |
| § 1.52 - Self-regulatory organization adoption and surveillance of minimum financial requirements. |
| § 1.53 - [Reserved] |
| § 1.54 - Contract market rules submitted to and approved or not disapproved by the Secretary of Agriculture. |
| § 1.55 - Public disclosures by futures commission merchants. |
| § 1.56 - Prohibition of guarantees against loss. |
| § 1.57 - Operations and activities of introducing brokers. |
| § 1.58 - Gross collection of exchange-set margins. |
| § 1.59 - Activities of self-regulatory organization employees, governing board members, committee members, and consultants. |
| § 1.60 - Pending legal proceedings. |
| § 1.61 - [Reserved] |
| § 1.62 - Contract market requirement for floor broker and floor trader registration. |
| § 1.63 - Service on self-regulatory organization governing boards or committees by persons with disciplinary histories. |
| § 1.64 - Composition of various self-regulatory organization governing boards and major disciplinary committees. |
| § 1.65 - Notice of bulk transfers and disclosure obligations to customers. |
| § 1.66 - No-action positions with respect to floor traders. |
| § 1.67 - Notification of final disciplinary action involving financial harm to a customer. |
| § 1.68 - [Reserved] |
| § 1.69 - Voting by interested members of self-regulatory organization governing boards and various committees. |
| § 1.70 - Notification of State enforcement actions brought under the Commodity Exchange Act. |
| § 1.71 - Conflicts of interest policies and procedures by futures commission merchants and introducing brokers. |
| § 1.72 - Restrictions on customer clearing arrangements. |
| § 1.73 - Clearing futures commission merchant risk management. |
| § 1.74 - Futures commission merchant acceptance for clearing. |
| §§ 1.41--1.43 - [Reserved] |
| §§ 1.41--1.45 - [Reserved] |
| §§ 1.61--1.62 - [Reserved] |
| § 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. |
| § 1.41b - [Reserved] |
| § 1.41c - Delegation of authority to the Director of the Division of Trading and Markets to receive notice of an emergency action. |
| §§ 1.41a--1.41c - [Reserved] |
| §§ 1.42--1.43 - [Reserved] |
| §§ 1.44--1.45 - [Reserved] |
| §§ 1.47--1.48 - [Reserved] |
| Customers' Money, Securities, and Property |
| § 1.20 - Futures customer funds to be segregated and separately accounted for. |
| § 1.21 - Care of money and equities accruing to futures customers. |
| § 1.22 - Use of futures customer funds restricted. |
| § 1.23 - Interest of futures commission merchant in segregated futures customer funds; additions and withdrawals. |
| § 1.24 - Segregated funds; exclusions therefrom. |
| § 1.25 - Investment of customer funds. |
| § 1.26 - Deposit of instruments purchased with futures customer funds. |
| § 1.27 - Record of investments. |
| § 1.28 - Appraisal of instruments purchased with customer funds. |
| § 1.29 - Gains and losses resulting from investment of customer funds. |
| § 1.30 - Loans by futures commission merchants; treatment of proceeds. |
| Customers’ Money, Securities, and Property |
| Recordkeeping |
| § 1.31 - Regulatory records; retention and production. |
| § 1.32 - Reporting of segregated account computation and details regarding the holding of futures customer funds. |
| § 1.33 - Monthly and confirmation statements. |
| § 1.34 - Monthly record, “point balance”. |
| § 1.35 - Records of commodity interest and related cash or forward transactions. |
| § 1.36 - Record of securities and property received from customers. |
| § 1.37 - Customer's name, address, and occupation recorded; record of guarantor or controller of account. |
| § 1.38 - Execution of transactions. |
| § 1.39 - Simultaneous buying and selling orders of different principals; execution of, for and between principals. |
| Appendix A to Part 1 |
| Appendix A to Part 1 - [Reserved] |
| Appendix B to Part 1 - Fees for Contract Market Rule Enforcement Reviews and Financial Reviews |
| Appendix C to Part 1 |
| Appendix C to Part 1 - [Reserved] |
| §§ 1.41--1.44 - [Reserved] |