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Electronic Code of Federal Regulations

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e-CFR Data is current as of April 15, 2014

TITLE 17—Commodity and Securities Exchanges

CHAPTER I—COMMODITY FUTURES TRADING COMMISSION

PART 1—GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT

rule

Definitions

§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.

Minimum Financial and Related Reporting Requirements

§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
[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.

Prohibited Trading in Commodity Options

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

Customers' Money, Securities, and Property

§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.

Recordkeeping

§1.31
Books and records; keeping and inspection.
§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.

Miscellaneous

§1.40
Crop, market information letters, reports; copies required.
§§1.41-1.45
[Reserved]
§1.46
Application and closing out of offsetting long and short positions.
§§1.47-1.48
[Reserved]
§1.49
Denomination of customer funds and location of depositories.
§§1.50-1.51
[Reserved]
§1.52
Self-regulatory organization adoption and surveillance of minimum financial requirements.
§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
[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
[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.
Appendix
Appendix A to Part 1 [Reserved]
Appendix
Appendix B to Part 1—Fees for Contract Market Rule Enforcement Reviews and Financial Reviews
Appendix
Appendix C to Part 1 [Reserved]


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