Code of Federal Regulations · Part

Part 1 — General Regulations Under The Commodity Exchange Act

17 C.F.R. pt. 1

• § 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
• § 1.41 Designation Of Hedging Accounts
• § 1.42 Delivery Accounts
• § 1.43 Letters Of Credit As Collateral
• § 1.44 Margin Adequacy And Treatment Of Separate Accounts
• § 1.45 [reserved]
• § 1.46 Application And Closing Out Of Offsetting Long And Short Positions
• § 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
• § 1.63 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
• § 1.47-1.48 §§ 1.47-1.48 [reserved]
• § 1.50-1.51 §§ 1.50-1.51 [reserved]
• § 1.61-1.62 §§ 1.61-1.62 [reserved]