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Title 17

Displaying title 17, up to date as of 9/21/2021. Title 17 was last amended 9/01/2021.
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Title 17 Commodity and Securities Exchanges Part / Section
Chapter I Commodity Futures Trading Commission 1 – 199
Part 41 Security Futures Products 41.1 – 41.49
Subpart A General Provisions 41.1 – 41.9
§ 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]
Subpart B Narrow-Based Security Indexes 41.11 – 41.15
§ 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.
Subpart C Requirements and Standards for Listing Security Futures Products 41.21 – 41.27
§ 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 A to Subpart C of Part 41
Guidance on and Acceptable Practices for Position Limits and Position Accountability for Security Futures Products
Subpart D Notice-Designated Contract Markets in Security Futures Products 41.31 – 41.34
§ 41.31 Notice-designation requirements.
§ 41.32 Continuing obligations.
§ 41.33 Applications for exemptive orders.
§ 41.34 Exempt Provisions.
Subpart E Customer Accounts and Margin Requirements 41.41 – 41.49