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Title 17
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Part 1
FEDERAL · 17 CFR
Part 1 — General Regulations Under the Commodity Exchange Act
71 sections · Title 17: Commodity and Securities Exchanges
§ 1.1
§ 1.1 [Reserved]
§ 1.2
Liability of principal for act of agent.
§ 1.3
Definitions.
§ 1.4
Electronic signatures, acknowledgments and verifications.
§ 1.6
Anti-evasion.
§ 1.7
Books and records requirements for security-based swap agreements.
§ 1.8
Requests for interpretation of swaps, security-based swaps, and mixed swaps.
§ 1.9
Regulation of mixed swaps.
§ 1.10
Financial reports of futures commission merchants and introducing brokers.
§ 1.11
Risk Management Program for futures commission merchants.
§ 1.12
Maintenance of minimum financial requirements by futures commission merchants and introducing brokers.
§ 1.13
§ 1.13 [Reserved]
§ 1.14
Risk assessment recordkeeping requirements for futures commission merchants.
§ 1.15
Risk assessment reporting requirements for futures commission merchants.
§ 1.16
Qualifications and reports of accountants.
§ 1.17
Minimum financial requirements for futures commission merchants and introducing brokers.
§ 1.18
Records for and relating to financial reporting and monthly computation by futures commission merchants and introducing brokers.
§ 1.19
Prohibited trading in certain “puts” and “calls”.
§ 1.20
Futures customer funds to be segregated and separately accounted for.
§ 1.21
Care of money and equities accruing to futures customers.
§ 1.22
Use of futures customer funds restricted.
§ 1.23
Interest of futures commission merchant in segregated futures customer funds; additions and withdrawals.
§ 1.24
Segregated funds; exclusions therefrom.
§ 1.25
Investment of customer funds.
§ 1.26
Deposit of instruments purchased with futures customer funds.
§ 1.27
Record of investments.
§ 1.28
Appraisal of instruments purchased with customer funds.
§ 1.29
Gains and losses resulting from investment of customer funds.
§ 1.30
Loans by futures commission merchants; treatment of proceeds.
§ 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.
§ 1.40
Crop, market information letters, reports; copies required.
§ 1.41
Designation of hedging accounts.
§ 1.42
Delivery accounts.
§ 1.43
Letters of credit as collateral.
§ 1.44
Margin adequacy and treatment of separate accounts.
§ 1.45
§ 1.45 [Reserved]
§ 1.46
Application and closing out of offsetting long and short positions.
§ 1.47-1.48
§§ 1.47-1.48 [Reserved]
§ 1.49
Denomination of customer funds and location of depositories.
§ 1.50-1.51
§§ 1.50-1.51 [Reserved]
§ 1.52
Self-regulatory organization adoption and surveillance of minimum financial requirements.
§ 1.53
§ 1.53 [Reserved]
§ 1.54
Contract market rules submitted to and approved or not disapproved by the Secretary of Agriculture.
§ 1.55
Public disclosures by futures commission merchants.
§ 1.56
Prohibition of guarantees against loss.
§ 1.57
Operations and activities of introducing brokers.
§ 1.58
Gross collection of exchange-set margins.
§ 1.59
Activities of self-regulatory organization employees, governing board members, committee members, and consultants.
§ 1.60
Pending legal proceedings.
§ 1.61-1.62
§§ 1.61-1.62 [Reserved]
§ 1.63
Service on self-regulatory organization governing boards or committees by persons with disciplinary histories.
§ 1.64
Composition of various self-regulatory organization governing boards and major disciplinary committees.
§ 1.65
Notice of bulk transfers and disclosure obligations to customers.
§ 1.66
No-action positions with respect to floor traders.
§ 1.67
Notification of final disciplinary action involving financial harm to a customer.
§ 1.68
§ 1.68 [Reserved]
§ 1.69
Voting by interested members of self-regulatory organization governing boards and various committees.
§ 1.70
Notification of State enforcement actions brought under the Commodity Exchange Act.
§ 1.71
Conflicts of interest policies and procedures by futures commission merchants and introducing brokers.
§ 1.72
Restrictions on customer clearing arrangements.
§ 1.73
Clearing futures commission merchant risk management.
§ 1.74
Futures commission merchant acceptance for clearing.
§ 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.