Federal (United States) · Regulations

Part 1 — GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT

70 sections

17 C.F.R. § 1.2Liability of principal for act of agent.
17 C.F.R. § 1.3Definitions.
17 C.F.R. § 1.4Electronic signatures, acknowledgments and verifications.
17 C.F.R. § 1.6Anti-evasion.
17 C.F.R. § 1.7Books and records requirements for security-based swap agreements.
17 C.F.R. § 1.8Requests for interpretation of swaps, security-based swaps, and mixed swaps.
17 C.F.R. § 1.9Regulation of mixed swaps.
17 C.F.R. § 1.10Financial reports of futures commission merchants and introducing brokers.
17 C.F.R. § 1.11Risk Management Program for futures commission merchants.
17 C.F.R. § 1.12Maintenance of minimum financial requirements by futures commission merchants and introducing brokers.
17 C.F.R. § 1.14Risk assessment recordkeeping requirements for futures commission merchants.
17 C.F.R. § 1.15Risk assessment reporting requirements for futures commission merchants.
17 C.F.R. § 1.16Qualifications and reports of accountants.
17 C.F.R. § 1.17Minimum financial requirements for futures commission merchants and introducing brokers.
17 C.F.R. § 1.18Records for and relating to financial reporting and monthly computation by futures commission merchants and introducing brokers.
17 C.F.R. § 1.19Prohibited trading in certain “puts” and “calls”.
17 C.F.R. § 1.20Futures customer funds to be segregated and separately accounted for.
17 C.F.R. § 1.21Care of money and equities accruing to futures customers.
17 C.F.R. § 1.22Use of futures customer funds restricted.
17 C.F.R. § 1.23Interest of futures commission merchant in segregated futures customer funds; additions and withdrawals.
17 C.F.R. § 1.24Segregated funds; exclusions therefrom.
17 C.F.R. § 1.25Investment of customer funds.
17 C.F.R. § 1.26Deposit of instruments purchased with futures customer funds.
17 C.F.R. § 1.27Record of investments.
17 C.F.R. § 1.28Appraisal of instruments purchased with customer funds.
17 C.F.R. § 1.29Gains and losses resulting from investment of customer funds.
17 C.F.R. § 1.30Loans by futures commission merchants; treatment of proceeds.
17 C.F.R. § 1.31Regulatory records; retention and production.
17 C.F.R. § 1.32Reporting of segregated account computation and details regarding the holding of futures customer funds.
17 C.F.R. § 1.33Monthly and confirmation statements.
17 C.F.R. § 1.34Monthly record, “point balance”.
17 C.F.R. § 1.35Records of commodity interest and related cash or forward transactions.
17 C.F.R. § 1.36Record of securities and property received from customers.
17 C.F.R. § 1.37Customer's name, address, and occupation recorded; record of guarantor or controller of account.
17 C.F.R. § 1.38Execution of transactions.
17 C.F.R. § 1.39Simultaneous buying and selling orders of different principals; execution of, for and between principals.
17 C.F.R. § 1.40Crop, market information letters, reports; copies required.
17 C.F.R. § 1.41Designation of hedging accounts.
17 C.F.R. § 1.42Delivery accounts.
17 C.F.R. § 1.43Letters of credit as collateral.
17 C.F.R. § 1.44Margin adequacy and treatment of separate accounts.
17 C.F.R. § 1.46Application and closing out of offsetting long and short positions.
17 C.F.R. § 1.49Denomination of customer funds and location of depositories.
17 C.F.R. § 1.52Self-regulatory organization adoption and surveillance of minimum financial requirements.
17 C.F.R. § 1.54Contract market rules submitted to and approved or not disapproved by the Secretary of Agriculture.
17 C.F.R. § 1.55Public disclosures by futures commission merchants.
17 C.F.R. § 1.56Prohibition of guarantees against loss.
17 C.F.R. § 1.57Operations and activities of introducing brokers.
17 C.F.R. § 1.58Gross collection of exchange-set margins.
17 C.F.R. § 1.59Activities of self-regulatory organization employees, governing board members, committee members, and consultants.
17 C.F.R. § 1.60Pending legal proceedings.
17 C.F.R. § 1.63Service on self-regulatory organization governing boards or committees by persons with disciplinary histories.
17 C.F.R. § 1.64Composition of various self-regulatory organization governing boards and major disciplinary committees.
17 C.F.R. § 1.65Notice of bulk transfers and disclosure obligations to customers.
17 C.F.R. § 1.66No-action positions with respect to floor traders.
17 C.F.R. § 1.67Notification of final disciplinary action involving financial harm to a customer.
17 C.F.R. § 1.69Voting by interested members of self-regulatory organization governing boards and various committees.
17 C.F.R. § 1.70Notification of State enforcement actions brought under the Commodity Exchange Act.
17 C.F.R. § 1.71Conflicts of interest policies and procedures by futures commission merchants and introducing brokers.
17 C.F.R. § 1.72Restrictions on customer clearing arrangements.
17 C.F.R. § 1.73Clearing futures commission merchant risk management.
17 C.F.R. § 1.74Futures commission merchant acceptance for clearing.
17 C.F.R. § 1.75Delegation 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.
17 C.F.R. Appendix A to Part 1Treatment of Certain Foreign Currencies for Margin Adequacy Requirements Under Regulation 1.44
17 C.F.R. Appendix B to Part 1Fees for Contract Market Rule Enforcement Reviews and Financial Reviews
17 C.F.R. Appendix C to Part 1Futures Commission Merchant Acknowledgment Letter for CFTC Regulation 1.20 Customer Segregated Account
17 C.F.R. Appendix D to Part 1Derivatives Clearing Organization Acknowledgment Letter for CFTC Regulation 1.20 Customer Segregated Account
17 C.F.R. Appendix E to Part 1Government Money Market Fund Prospectus Provisions Acceptable for Compliance with § 1.25(c)(5)
17 C.F.R. Appendix F to Part 1Futures Commission Merchant Acknowledgment Letter for CFTC Regulation 1.26 Customer Segregated Government Money Market Fund Account
17 C.F.R. Appendix G to Part 1Derivatives Clearing Organization Acknowledgment Letter for CFTC Regulation 1.26 Customer Segregated Government Money Market Fund Account