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Title
17 -
Commodity and Securities Exchanges |
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Parts 1 - 450. April 1, 2000.
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Table Of Contents
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Table Of Contents
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Table Of Contents
(Parts 1 - 1)
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Section 1.1 -
Words in singular and plural form.
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Section 1.2 -
Liability of principal for act of agent.
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Section 1.3 -
Definitions.
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Section 1.4 -
Use of electronic signatures.
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Section 1.10 -
Financial reports of futures commission merchants and introducing brokers.
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Section 1.11 -
[Reserved]
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Section 1.12 -
Maintenance of minimum financial requirements by futures commission merchants and introducing...
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Section 1.13 -
[Reserved]
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Section 1.14 -
Risk assessment recordkeeping requirements for futures commission merchants.
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Section 1.15 -
Risk assessment reporting requirements for futures commission merchants.
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Section 1.16 -
Qualifications and reports of accountants.
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Section 1.17 -
Minimum financial requirements for futures commission merchants and introducing brokers.
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Section 1.18 -
Records for and relating to financial reporting and monthly computation by futures commission...
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Section 1.19 -
Prohibited trading in certain “puts” and “calls”.
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Section 1.20 -
Customer funds to be segregated and separately accounted for.
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Section 1.21 -
Care of money and equities accruing to customers.
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Section 1.22 -
Use of customer funds restricted.
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Section 1.23 -
Interest of futures commission merchant in segregated funds; additions and withdrawals.
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Section 1.24 -
Segregated funds; exclusions therefrom.
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Section 1.25 -
Investment of customer funds.
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Section 1.26 -
Deposit of obligations purchased with customer funds.
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Section 1.27 -
Record of investments.
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Section 1.28 -
Appraisal of obligations purchased with customer funds.
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Section 1.29 -
Increment or interest resulting from investment of customer funds.
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Section 1.30 -
Loans by futures commission merchants; treatment of proceeds.
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Section 1.31 -
Books and records; keeping and inspection.
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Section 1.32 -
Segregated account; daily computation and record.
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Section 1.33 -
Monthly and confirmation statements.
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Section 1.34 -
Monthly record, “point balance”.
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Section 1.35 -
Records of cash commodity, futures, and option transactions.
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Section 1.36 -
Record of securities and property received from customers and option customers.
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Section 1.37 -
Customer's or option customer's name, address, and occupation recorded; record of guarantor or...
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Section 1.38 -
Execution of transactions.
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Section 1.39 -
Simultaneous buying and selling orders of different principals; execution of, for and between...
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Section 1.40 -
Crop, market information letters, reports; copies required.
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Section 1.41 -
Contract market rules; submission of rules to the Commission; exemption of certain rules.
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Section 1.42 -
Delivery notice; filing of copy.
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Section 1.43 -
Information required concerning warehouses.
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Section 1.44 -
Records and reports of warehouses, depositories, and other similar entities; visitation of premises.
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Section 1.45 -
Delivery of commodities conforming to United States standards.
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Section 1.46 -
Application and closing out of offsetting long and short positions.
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Section 1.47 -
Requirements for classification of purchases or sales of contracts for future delivery as bona...
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Section 1.48 -
Requirements for classification of sales or purchases for future delivery as bona fide hedging of...
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Section 1.50 -
Demonstration of continued compliance with the requirements for contract market designation.
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Section 1.51 -
Contract market program for enforcement.
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Section 1.52 -
Self-regulatory organization adoption and surveillance of minimum financial requirements.
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Section 1.53 -
Enforcement of contract market bylaws, rules, regulations, and resolutions.
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Section 1.54 -
Contract market rules submitted to and approved or not disapproved by the Secretary of Agriculture.
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Section 1.55 -
Distribution of “Risk Disclosure Statement” by futures commission merchants and introducing brokers.
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Section 1.56 -
Prohibition of guarantees against loss.
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Section 1.57 -
Operations and activities of introducing brokers.
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Section 1.58 -
Gross collection of exchange-set margins.
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Section 1.59 -
Activities of self-regulatory organization employees and governing members who possess material...
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Section 1.60 -
Pending legal proceedings.
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Section 1.61 -
[Reserved]
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Section 1.62 -
Contract market requirement for floor broker and floor trader registration.
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Section 1.63 -
Service on self-regulatory organization governing boards or committees by persons with...
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Section 1.64 -
Composition of various self-regulatory organization governing boards and major disciplinary...
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Section 1.65 -
Notice of bulk transfers and disclosure obligations to customers.
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Section 1.66 -
No-action positions with respect to floor traders.
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Section 1.67 -
Notification of final disciplinary action involving financial harm to a customer.
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Section 1.69 -
Voting by interested members of self-regulatory organization governing boards and various...
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Section 1.70 -
Notification of State enforcement actions brought under the Commodity Exchange Act.
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Section 1.41a -
Delegation of authority to the Directors of the Division of Trading and Markets and the Division...
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Section 1.41b -
Delegation of authority to the Director of the Division of Trading and Markets and Director of...
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Section 1.41c -
Delegation of authority to the Director of the Division of Trading and Markets to receive notice...
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Appendix A to Part 1 -
[Reserved]
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Appendix B to Part 1 -
Fees for Contract Market Rule Enforcement Reviews and Financial Reviews
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