Part 1. PART 1—GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT

• Definitions

  • SECTION § 1.1 - [Reserved]
  • SECTION § 1.2 - Liability of principal for act of agent.
  • SECTION § 1.3 - Definitions.
  • SECTION § 1.4 - Electronic signatures, acknowledgments and verifications.
  • SECTION § 1.6 - Anti-evasion.
  • SECTION § 1.7 - Books and records requirements for security-based swap agreements.
  • SECTION § 1.8 - Requests for interpretation of swaps, security-based swaps, and mixed swaps.
  • SECTION § 1.9 - Regulation of mixed swaps.

• Minimum Financial and Related Reporting Requirements

  • SECTION § 1.10 - Financial reports of futures commission merchants and introducing brokers.
  • SECTION § 1.11 - Risk Management Program for futures commission merchants.
  • SECTION § 1.12 - Maintenance of minimum financial requirements by futures commission merchants and introducing brokers.
  • SECTION § 1.13 - [Reserved]
  • SECTION § 1.14 - Risk assessment recordkeeping requirements for futures commission merchants.
  • SECTION § 1.15 - Risk assessment reporting requirements for futures commission merchants.
  • SECTION § 1.16 - Qualifications and reports of accountants.
  • SECTION § 1.17 - Minimum financial requirements for futures commission merchants and introducing brokers.
  • SECTION § 1.18 - Records for and relating to financial reporting and monthly computation by futures commission merchants and introducing brokers.

• Prohibited Trading in Commodity Options

  • SECTION § 1.19 - Prohibited trading in certain “puts” and “calls”.

• Customers' Money, Securities, and Property

  • SECTION § 1.20 - Futures customer funds to be segregated and separately accounted for.
  • SECTION § 1.21 - Care of money and equities accruing to futures customers.
  • SECTION § 1.22 - Use of futures customer funds restricted.
  • SECTION § 1.23 - Interest of futures commission merchant in segregated futures customer funds; additions and withdrawals.
  • SECTION § 1.24 - Segregated funds; exclusions therefrom.
  • SECTION § 1.25 - Investment of customer funds.
  • SECTION § 1.26 - Deposit of instruments purchased with futures customer funds.
  • SECTION § 1.27 - Record of investments.
  • SECTION § 1.28 - Appraisal of instruments purchased with customer funds.
  • SECTION § 1.29 - Gains and losses resulting from investment of customer funds.
  • SECTION § 1.30 - Loans by futures commission merchants; treatment of proceeds.

• Recordkeeping

  • SECTION § 1.31 - Regulatory records; retention and production.
  • SECTION § 1.32 - Reporting of segregated account computation and details regarding the holding of futures customer funds.
  • SECTION § 1.33 - Monthly and confirmation statements.
  • SECTION § 1.34 - Monthly record, “point balance”.
  • SECTION § 1.35 - Records of commodity interest and related cash or forward transactions.
  • SECTION § 1.36 - Record of securities and property received from customers.
  • SECTION § 1.37 - Customer's name, address, and occupation recorded; record of guarantor or controller of account.
  • SECTION § 1.38 - Execution of transactions.
  • SECTION § 1.39 - Simultaneous buying and selling orders of different principals; execution of, for and between principals.

• Miscellaneous

  • SECTION § 1.40 - Crop, market information letters, reports; copies required.
  • SECTION § 1.41 - Designation of hedging accounts.
  • SECTION § 1.42 - Delivery accounts.
  • SECTION § 1.43 - Letters of credit as collateral.
  • SECTION §§ 1.44-1.45 - §[Reserved]
  • SECTION § 1.46 - Application and closing out of offsetting long and short positions.
  • SECTION §§ 1.47-1.48 - §[Reserved]
  • SECTION § 1.49 - Denomination of customer funds and location of depositories.
  • SECTION §§ 1.50-1.51 - §[Reserved]
  • SECTION § 1.52 - Self-regulatory organization adoption and surveillance of minimum financial requirements.
  • SECTION § 1.53 - [Reserved]
  • SECTION § 1.54 - Contract market rules submitted to and approved or not disapproved by the Secretary of Agriculture.
  • SECTION § 1.55 - Public disclosures by futures commission merchants.
  • SECTION § 1.56 - Prohibition of guarantees against loss.
  • SECTION § 1.57 - Operations and activities of introducing brokers.
  • SECTION § 1.58 - Gross collection of exchange-set margins.
  • SECTION § 1.59 - Activities of self-regulatory organization employees, governing board members, committee members, and consultants.
  • SECTION § 1.60 - Pending legal proceedings.
  • SECTION §§ 1.61-1.62 - §[Reserved]
  • SECTION § 1.63 - Service on self-regulatory organization governing boards or committees by persons with disciplinary histories.
  • SECTION § 1.64 - Composition of various self-regulatory organization governing boards and major disciplinary committees.
  • SECTION § 1.65 - Notice of bulk transfers and disclosure obligations to customers.
  • SECTION § 1.66 - No-action positions with respect to floor traders.
  • SECTION § 1.67 - Notification of final disciplinary action involving financial harm to a customer.
  • SECTION § 1.68 - [Reserved]
  • SECTION § 1.69 - Voting by interested members of self-regulatory organization governing boards and various committees.
  • SECTION § 1.70 - Notification of State enforcement actions brought under the Commodity Exchange Act.
  • SECTION § 1.71 - Conflicts of interest policies and procedures by futures commission merchants and introducing brokers.
  • SECTION § 1.72 - Restrictions on customer clearing arrangements.
  • SECTION § 1.73 - Clearing futures commission merchant risk management.
  • SECTION § 1.74 - Futures commission merchant acceptance for clearing.
  • SECTION § 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

  • 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]