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
- § 2a to 4a - Transferred
- § 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
- § 6o-1 - Transferred
- § 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 - Repealed.
- § 7a-1 - Derivatives clearing organizations
- § 7a-2 - Common provisions applicable to registered entities
- § 7a-3 - Repealed.
- § 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
- § 10 - Repealed.
- § 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
- § 12-1 to 12-3 - Omitted
- § 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
- § 12e - Repealed.
- § 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
- § 14 - Repealed.
- § 15 - Omitted
- § 15a - Repealed.
- § 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
- § 27b - Repealed.
- § 27c - Exclusion of certain other identified banking products
- § 27d - Administration of the predominance test
- § 27e - Repealed.
- § 27f - Contract enforcement