Part 1 - GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT  


§ 1.1 [Reserved]
§ 1.2 Liability of principal for act of agent.
§ 1.3 Definitions.
§ 1.4 Electronic signatures, acknowledgments and verifications.
§ 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.
§ 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.
§ 1.19 Prohibited trading in certain “puts” and “calls”.
§ 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.
§ 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.
§ 1.40 Crop, market information letters, reports; copies required.
§ 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.
§ 1.48 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.
§ 1.49 Denomination of customer funds and location of depositories.
§ 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.
§ 1.75 Delegation of authority to the Director of the Division of Clearing and Risk to establish an alternative compliance schedule to comply with futures commission merchant acceptance for clearing.
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 [Reserved]
§§ 1.41-1.43 [Reserved]
§§ 1.41-1.44 [Reserved]
§§ 1.41-1.45 [Reserved]
§§ 1.47-1.48 [Reserved]
§§ 1.50-1.51 [Reserved]
§§ 1.61 — 1.62 [Reserved]
§§ 1.61-1.62 [Reserved]

Authority

7 U.S.C. 1a, 2, 5, 6, 6a, 6b, 6c, 6d, 6e, 6f, 6g, 6h, 6i, 6k, 6m, 6n, 6o, 6p, 7, 7a, 7b, 8, 9, 12, 12a, 12c, 13a, 13a–1, 16, 16a, 19, 21, 23, and 24, as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act, Pub. L. 111–203, 124 Stat. 1376 (2010), and the Commodity Futures Modernization Act of 2000, Appendix E of Pub. L. 106–554, 114 Stat. 2763 (2000).

Source

41 FR 3194, Jan. 21, 1976, unless otherwise noted.