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e-CFR data is current as of September 29, 2020

Title 17 → Chapter I → Part 41

TITLE 17—Commodity and Securities Exchanges

CHAPTER I—COMMODITY FUTURES TRADING COMMISSION (CONTINUED)

PART 41—SECURITY FUTURES PRODUCTS

rule

Subpart A—GENERAL PROVISIONS

§41.1
Definitions.
§41.2
Required records.
§41.3
Application for an exemptive order pursuant to section 4f(a)(4)(B) of the Act.
§§41.4-41.9
[Reserved]
rule

Subpart B—NARROW-BASED SECURITY INDEXES

§41.11
Method for determining market capitalization and dollar value of average daily trading volume; application of the definition of narrow-based security index.
§41.12
Indexes underlying futures contracts trading for fewer than 30 days.
§41.13
Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade.
§41.14
Transition period for indexes that cease being narrow-based security indexes.
§41.15
Exclusion from definition of narrow-based security index for indexes composed of debt securities.
rule

Subpart C—REQUIREMENTS AND STANDARDS FOR LISTING SECURITY FUTURES PRODUCTS

§41.21
Requirements for underlying securities.
§41.22
Required certifications.
§41.23
Listing of security futures products for trading.
§41.24
Rule amendments to security futures products.
§41.25
Additional conditions for trading for security futures products.
§41.27
Prohibition of dual trading in security futures products by floor brokers.
Appendix
Appendix A to Subpart C of Part 41—Guidance on and Acceptable Practices for Position Limits and Position Accountability for Security Futures Products
rule

Subpart D—NOTICE-DESIGNATED CONTRACT MARKETS IN SECURITY FUTURES PRODUCTS

§41.31
Notice-designation requirements.
§41.32
Continuing obligations.
§41.33
Applications for exemptive orders.
§41.34
Exempt Provisions.
rule

Subpart E—CUSTOMER ACCOUNTS AND MARGIN REQUIREMENTS

§41.41
Security futures products accounts.
§41.42
Customer margin requirements for security futures—authority, purpose, interpretation, and scope.
§41.43
Definitions.
§41.44
General provisions.
§41.45
Required margin.
§41.46
Type, form and use of margin.
§41.47
Withdrawal of margin.
§41.48
Undermargined accounts.
§41.49
Filing proposed margin rule changes with the Commission.

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