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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 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. |