7 U.S.C. Chapter 1 — COMMODITY EXCHANGES
- § 1— Short title
- § 1a— Definitions
- § 1b— Requirements of Secretary of the Treasury regarding exemption of foreign exchange swaps and foreign exchange forwards from definition of the term “swap”
- § 2— Jurisdiction of Commission; liability of principal for act of agent; Commodity Futures Trading Commission; transaction in interstate commerce
- § 5— Findings and purpose
- § 6— Regulation of futures trading and foreign transactions
- § 6a— Excessive speculation
- § 6b— Contracts designed to defraud or mislead
- § 6b–1— Enforcement authority
- § 6c— Prohibited transactions
- § 6d— Dealing by unregistered futures commission merchants or introducing brokers prohibited; duties in handling customer receipts; conflict-of-interest systems and procedures; Chief Compliance Officer; rules to avoid duplicative regulations; swap requirements; portfolio margining accounts
- § 6e— Dealings by unregistered floor trader or broker prohibited
- § 6f— Registration and financial requirements; risk assessment
- § 6g— Reporting and recordkeeping
- § 6h— False self-representation as registered entity member prohibited
- § 6i— Reports of deals equal to or in excess of trading limits; books and records; cash and controlled transactions
- § 6j— Restrictions on dual trading in security futures products on designated contract markets and registered derivatives transaction execution facilities
- § 6k— Registration of associates of futures commission merchants, commodity pool operators, and commodity trading advisors; required disclosure of disqualifications; exemptions for associated persons
- § 6l— Commodity trading advisors and commodity pool operators; Congressional finding
- § 6m— Use of mails or other means or instrumentalities of interstate commerce by commodity trading advisors and commodity pool operators; relation to other law
- § 6n— Registration of commodity trading advisors and commodity pool operators; application; expiration and renewal; record keeping and reports; disclosure; statements of account
- § 6o— Fraud and misrepresentation by commodity trading advisors, commodity pool operators, and associated persons
- § 6p— Standards and examinations
- § 6q— Special procedures to encourage and facilitate bona fide hedging by agricultural producers
- § 6r— Reporting and recordkeeping for uncleared swaps
- § 6s— Registration and regulation of swap dealers and major swap participants
- § 6t— Large swap trader reporting
- § 7— Designation of boards of trade as contract markets
- § 7a–1— Derivatives clearing organizations
- § 7a–2— Common provisions applicable to registered entities
- § 7b— Suspension or revocation of designation as registered entity
- § 7b–1— Designation of securities exchanges and associations as contract markets
- § 7b–2— Privacy
- § 7b–3— Swap execution facilities
- § 8— Application for designation as contract market or derivatives transaction execution facility; time; suspension or revocation of designation; hearing; review by court of appeals
- § 9— Prohibition regarding manipulation and false information
- § 9a— Assessment of money penalties
- § 9b— Rules prohibiting deceptive and other abusive telemarketing acts or practices
- § 9c— Notice of investigations and enforcement actions
- § 10a— Cooperative associations and corporations, exclusion from board of trade; rules of board inapplicable to payment of compensation by association
- § 11— Vacation on request of designation or registration as “registered entity”; redesignation or reregistration
- § 12— Public disclosure
- § 12a— Registration of commodity dealers and associated persons; regulation of registered entities
- § 12b— Trading ban violations; prohibition
- § 12c— Disciplinary actions
- § 12d— Commission action for noncompliance with export sales reporting requirements
- § 13— Violations generally; punishment; costs of prosecution
- § 13–1— Violations, prohibition against dealings in motion picture box office receipts or onion futures; punishment
- § 13a— Nonenforcement of rules of government or other violations; cease and desist orders; fines and penalties; imprisonment; misdemeanor; separate offenses
- § 13a–1— Enjoining or restraining violations
- § 13a–2— Jurisdiction of States
- § 13b— Manipulations or other violations; cease and desist orders against persons other than registered entities; punishment
- § 13c— Responsibility as principal; minor violations
- § 15b— Cotton futures contracts
- § 16— Commission operations
- § 16a— Service fees and National Futures Association study
- § 17— Separability
- § 17a— Separability of 1936 amendment
- § 17b— Separability of 1968 amendment
- § 18— Complaints against registered persons
- § 19— Consideration of costs and benefits and antitrust laws
- § 20— Market reports
- § 21— Registered futures associations
- § 22— Research and information programs; reports to Congress
- § 23— Standardized contracts for certain commodities
- § 24— Customer property with respect to commodity broker debtors; definitions
- § 24a— Swap data repositories
- § 25— Private rights of action
- § 26— Commodity whistleblower incentives and protection
- § 27— Definitions
- § 27a— Exclusion of identified banking product
- § 27c— Exclusion of certain other identified banking products
- § 27d— Administration of the predominance test
- § 27f— Contract enforcement