17 CFR Part 1
PART 1—GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT
- PART 1—GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT
- Chapter I—Commodity Futures Trading Commission
- 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 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.
- Miscellaneous
- § 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 [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 A to Part 1—Treatment of Certain Foreign Currencies for Margin Adequacy Requirements Under Regulation 1.44
- Appendix B to Part 1—Fees for Contract Market Rule Enforcement Reviews and Financial Reviews
- Appendix C to Part 1—Futures Commission Merchant Acknowledgment Letter for CFTC Regulation 1.20 Customer Segregated Account
- Appendix D to Part 1—Derivatives Clearing Organization Acknowledgment Letter for CFTC Regulation 1.20 Customer Segregated Account
- Appendix E to Part 1—Government Money Market Fund Prospectus Provisions Acceptable for Compliance with § 1.25(c)(5)
- Appendix F to Part 1—Futures Commission Merchant Acknowledgment Letter for CFTC Regulation 1.26 Customer Segregated Government Money Market Fund Account
- Appendix G to Part 1—Derivatives Clearing Organization Acknowledgment Letter for CFTC Regulation 1.26 Customer Segregated Government Money Market Fund Account
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