17 CFR Part 1 — General Regulations Under the Commodity Exchange Act
- § 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.
- § 1.14— 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.
- § 1.46— 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.
- § 1.54— 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.
- § 1.69— 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.