CFR

PART 1—GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT

• 1.2—Liability of principal for act of agent.
• 1.3—Definitions.
• 1.4—Use of electronic signatures.
• 1.10—Financial reports of futures commission merchants and introducing brokers.
• 1.12—Maintenance of minimum financial requirements by futures commission merchants and introducing brokers.
• 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—Customer funds to be segregated and separately accounted for.
• 1.21—Care of money and equities accruing to customers.
• 1.22—Use of customer funds restricted.
• 1.23—Interest of futures commission merchant in segregated funds; additions and withdrawals.
• 1.24—Segregated funds; exclusions therefrom.
• 1.25—Investment of customer funds.
• 1.26—Deposit of instruments purchased with customer funds.
• 1.27—Record of investments.
• 1.28—Appraisal of instruments purchased with customer funds.
• 1.29—Increment or interest resulting from investment of customer funds.
• 1.30—Loans by futures commission merchants; treatment of proceeds.
• 1.31—Books and records; keeping and inspection.
• 1.32—Segregated account; daily computation and record.
• 1.33—Monthly and confirmation statements.
• 1.34—Monthly record, “point balance”.
• 1.35—Records of cash commodity, futures, and option transactions.
• 1.36—Record of securities and property received from customers and option customers.
• 1.37—Customer's or option 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.
• 1.44—Records and reports of warehouses, depositories, and other similar entities; visitation of premises.
• 1.46—Application and closing out of offsetting long and short positions.
• 1.47—Requirements for classification of purchases or sales of contracts for future delivery as bona fide hedging under § 1.3(z)(3) of the regulations.
• 1.48—Requirements for classification of sales or purchases for future delivery as bona fide hedging of unsold anticipated production or unfilled anticipated requirements under § 1.3(z)(2)
• 1.49—Denomination of customer funds and location of depositories.
• 1.52—Self-regulatory organization adoption and surveillance of minimum financial requirements.
• 1.53—Enforcement of contract market bylaws, rules, regulations, and resolutions.
• 1.54—Contract market rules submitted to and approved or not disapproved by the Secretary of Agriculture.
• 1.55—Distribution of “Risk Disclosure Statement” by futures commission merchants and introducing brokers.
• 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.
• 1.62—Contract market requirement for floor broker and floor trader registration.
• 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—Customer election not to have funds, carried by a futures commission merchant for trading on a registered derivatives transaction execution facility, separately accounted for and segregate
• 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.

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