17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Table Of Contents Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Definitions Sec. 1.1 [Reserved] 1.2 Liability of principal for act of agent. 1.3 Definitions. 1.4 Use of electronic signatures. Minimum Financial and Related Reporting Requirements 1.10 Financial reports of futures commission merchants and introducing brokers. 1.11 [Reserved] 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 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. Recordkeeping 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. Miscellaneous 1.40 Crop, market information letters, reports; copies required. 1.41-1.43 [Reserved] 1.44 Records and reports of warehouses, depositories, and other similar entities; visitation of premises. 1.45 [Reserved] 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) (i)(B) or (ii)(C) of the regulations. 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 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. 1.61 [Reserved] 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 segregated. 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. Appendix A to Part 1 [Reserved] Appendix B to Part 1—Fees for Contract Market Rule Enforcement Reviews and Financial Reviews Authority:

7 U.S.C. 1a, 2, 5, 6, 6a, 6b, 6c, 6d, 6e, 6f, 6g, 6h, 6i, 6j, 6k, 6l, 6m, 6n, 6o, 6p, 7, 7a, 7b, 8, 9, 12, 12a, 12c, 13a, 13a-1, 16, 16a, 19, 21, 23, and 24, as amended by the Commodity Futures Modernization Act of 2000, Appendix E of Pub. L. 106-554, 114 Stat. 2763 (2000).

 Source:

41 FR 3194, Jan. 21, 1976, unless otherwise noted.

Definitions