17 CFR Topic
Recordkeeping
April 15, 2021
§
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
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