17 CFR 1.31 - Books and records; keeping and inspection.

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17 CFR 1.31 - Books and records; keeping and inspection.

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Category	Regulatory Information
Collection	Code of Federal Regulations (annual edition)
SuDoc Class Number	AE 2.106/3:17/
Contained Within	Title 17 - Commodity and Securities Exchanges Title 17 - Commodity and Securities Exchanges Chapter I - COMMODITY FUTURESTRADING COMMISSION Part 1 - GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Recordkeeping Section 1.31 - Books and records; keeping and inspection.
Date	April 1, 2000
Citation Text	41 FR 3194, Jan. 21, 1976, as amended at 46 FR 22, Jan. 2, 1981; 46 FR 63035, Dec. 30, 1981; 58 FR 27464, 27467, May 10, 1993; 62 FR 24031, May 2, 1997; 64 FR 28742, May 27, 1999
CFR References	17 CFR 1.31
Federal Register References	41 FR 3194, 46 FR 22, 46 FR 63035, 58 FR 27464, 62 FR 24031, 64 FR 28742

Document in Context

Title 17 - Commodity and Securities Exchanges

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Parts 1 - 450. April 1, 2000.

Table Of Contents		PDF \| XML \| More

Chapter I - COMMODITY FUTURESTRADING COMMISSION (Parts 1 - 199)			PDF \| XML \| More

Table Of Contents		PDF \| XML \| More

Part 1 - GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT			PDF \| XML \| More

Table Of Contents (Parts 1 - 1)		PDF \| XML \| More

Definitions (Part 1)			PDF \| More

Section 1.1 - Words in singular and plural form.		PDF \| XML \| More

Section 1.2 - Liability of principal for act of agent.		PDF \| XML \| More

Section 1.3 - Definitions.		PDF \| XML \| More

Section 1.4 - Use of electronic signatures.		PDF \| XML \| More

Minimum Financial and Related Reporting Requirements (Part 1)			PDF \| More

Section 1.10 - Financial reports of futures commission merchants and introducing brokers.		PDF \| XML \| More

Section 1.11 - [Reserved]		PDF \| XML \| More

Section 1.12 - Maintenance of minimum financial requirements by futures commission merchants and introducing...		PDF \| XML \| More

Section 1.13 - [Reserved]		PDF \| XML \| More

Section 1.14 - Risk assessment recordkeeping requirements for futures commission merchants.		PDF \| XML \| More

Section 1.15 - Risk assessment reporting requirements for futures commission merchants.		PDF \| XML \| More

Section 1.16 - Qualifications and reports of accountants.		PDF \| XML \| More

Section 1.17 - Minimum financial requirements for futures commission merchants and introducing brokers.		PDF \| XML \| More

Section 1.18 - Records for and relating to financial reporting and monthly computation by futures commission...		PDF \| XML \| More

Prohibited Trading in Commodity Options (Part 1)			PDF \| More

Section 1.19 - Prohibited trading in certain “puts” and “calls”.		PDF \| XML \| More

Customers’ Money, Securities, and Property (Part 1)			PDF \| More

Section 1.20 - Customer funds to be segregated and separately accounted for.		PDF \| XML \| More

Section 1.21 - Care of money and equities accruing to customers.		PDF \| XML \| More

Section 1.22 - Use of customer funds restricted.		PDF \| XML \| More

Section 1.23 - Interest of futures commission merchant in segregated funds; additions and withdrawals.		PDF \| XML \| More

Section 1.24 - Segregated funds; exclusions therefrom.		PDF \| XML \| More

Section 1.25 - Investment of customer funds.		PDF \| XML \| More

Section 1.26 - Deposit of obligations purchased with customer funds.		PDF \| XML \| More

Section 1.27 - Record of investments.		PDF \| XML \| More

Section 1.28 - Appraisal of obligations purchased with customer funds.		PDF \| XML \| More

Section 1.29 - Increment or interest resulting from investment of customer funds.		PDF \| XML \| More

Section 1.30 - Loans by futures commission merchants; treatment of proceeds.		PDF \| XML \| More

Recordkeeping (Part 1)			PDF \| More

Section 1.31 - Books and records; keeping and inspection.		PDF \| XML \| More

Section 1.32 - Segregated account; daily computation and record.		PDF \| XML \| More

Section 1.33 - Monthly and confirmation statements.		PDF \| XML \| More

Section 1.34 - Monthly record, “point balance”.		PDF \| XML \| More

Section 1.35 - Records of cash commodity, futures, and option transactions.		PDF \| XML \| More

Section 1.36 - Record of securities and property received from customers and option customers.		PDF \| XML \| More

Section 1.37 - Customer's or option customer's name, address, and occupation recorded; record of guarantor or...		PDF \| XML \| More

Section 1.38 - Execution of transactions.		PDF \| XML \| More

Section 1.39 - Simultaneous buying and selling orders of different principals; execution of, for and between...		PDF \| XML \| More

Miscellaneous (Part 1)			PDF \| More

Section 1.40 - Crop, market information letters, reports; copies required.		PDF \| XML \| More

Section 1.41 - Contract market rules; submission of rules to the Commission; exemption of certain rules.		PDF \| XML \| More

Section 1.42 - Delivery notice; filing of copy.		PDF \| XML \| More

Section 1.43 - Information required concerning warehouses.		PDF \| XML \| More

Section 1.44 - Records and reports of warehouses, depositories, and other similar entities; visitation of premises.		PDF \| XML \| More

Section 1.45 - Delivery of commodities conforming to United States standards.		PDF \| XML \| More

Section 1.46 - Application and closing out of offsetting long and short positions.		PDF \| XML \| More

Section 1.47 - Requirements for classification of purchases or sales of contracts for future delivery as bona...		PDF \| XML \| More

Section 1.48 - Requirements for classification of sales or purchases for future delivery as bona fide hedging of...		PDF \| XML \| More

Section 1.50 - Demonstration of continued compliance with the requirements for contract market designation.		PDF \| XML \| More

Section 1.51 - Contract market program for enforcement.		PDF \| XML \| More

Section 1.52 - Self-regulatory organization adoption and surveillance of minimum financial requirements.		PDF \| XML \| More

Section 1.53 - Enforcement of contract market bylaws, rules, regulations, and resolutions.		PDF \| XML \| More

Section 1.54 - Contract market rules submitted to and approved or not disapproved by the Secretary of Agriculture.		PDF \| XML \| More

Section 1.55 - Distribution of “Risk Disclosure Statement” by futures commission merchants and introducing brokers.		PDF \| XML \| More

Section 1.56 - Prohibition of guarantees against loss.		PDF \| XML \| More

Section 1.57 - Operations and activities of introducing brokers.		PDF \| XML \| More

Section 1.58 - Gross collection of exchange-set margins.		PDF \| XML \| More

Section 1.59 - Activities of self-regulatory organization employees and governing members who possess material...		PDF \| XML \| More

Section 1.60 - Pending legal proceedings.		PDF \| XML \| More

Section 1.61 - [Reserved]		PDF \| XML \| More

Section 1.62 - Contract market requirement for floor broker and floor trader registration.		PDF \| XML \| More

Section 1.63 - Service on self-regulatory organization governing boards or committees by persons with...		PDF \| XML \| More

Section 1.64 - Composition of various self-regulatory organization governing boards and major disciplinary...		PDF \| XML \| More

Section 1.65 - Notice of bulk transfers and disclosure obligations to customers.		PDF \| XML \| More

Section 1.66 - No-action positions with respect to floor traders.		PDF \| XML \| More

Section 1.67 - Notification of final disciplinary action involving financial harm to a customer.		PDF \| XML \| More

Section 1.69 - Voting by interested members of self-regulatory organization governing boards and various...		PDF \| XML \| More

Section 1.70 - Notification of State enforcement actions brought under the Commodity Exchange Act.		PDF \| XML \| More

Section 1.41a - Delegation of authority to the Directors of the Division of Trading and Markets and the Division...		PDF \| XML \| More

Section 1.41b - Delegation of authority to the Director of the Division of Trading and Markets and Director of...		PDF \| XML \| More

Section 1.41c - Delegation of authority to the Director of the Division of Trading and Markets to receive notice...		PDF \| XML \| More

Appendix A to Part 1 - [Reserved]		PDF \| XML \| More

Appendix B to Part 1 - Fees for Contract Market Rule Enforcement Reviews and Financial Reviews		PDF \| XML \| More

Part 2 - OFFICIAL SEAL			PDF \| XML \| More

Part 3 - REGISTRATION			PDF \| XML \| More

Part 4 - COMMODITY POOL OPERATORS AND COMMODITY TRADING ADVISORS			PDF \| XML \| More

Part 5 - DESIGNATION OF AND CONTINUING COMPLIANCE BY CONTRACT MARKETS			PDF \| XML \| More

Part 7 - CONTRACT MARKET RULES ALTERED OR SUPPLEMENTED BY THE COMMISSION			PDF \| XML \| More

Part 8 - EXCHANGE PROCEDURES FOR DISCIPLINARY, SUMMARY, AND MEMBERSHIP DENIAL ACTIONS			PDF \| XML \| More

Part 9 - RULES RELATING TO REVIEW OF EXCHANGE DISCIPLINARY, ACCESS DENIAL OR OTHER ADVERSE ACTIONS			PDF \| XML \| More

Part 10 - RULES OF PRACTICE			PDF \| XML \| More

Part 11 - RULES RELATING TO INVESTIGATIONS			PDF \| XML \| More

Part 12 - RULES RELATING TO REPARATIONS			PDF \| XML \| More

Part 13 - PUBLIC RULEMAKING PROCEDURES			PDF \| XML \| More

Part 14 - RULES RELATING TO SUSPENSION OR DISBARMENT FROM APPEARANCE AND PRACTICE			PDF \| XML \| More

Part 15 - REPORTS-GENERAL PROVISIONS			PDF \| XML \| More

Part 16 - REPORTS BY CONTRACT MARKETS			PDF \| XML \| More

Part 17 - REPORTS BY FUTURES COMMISSION MERCHANTS, MEMBERS OF CONTRACT MARKETS AND FOREIGN BROKERS			PDF \| XML \| More

Part 18 - REPORTS BY TRADERS			PDF \| XML \| More

Part 19 - REPORTS BY PERSONS HOLDING BONA FIDE HEDGE POSITIONS PURSUANT TO § 1.3(z) OF THIS CHAPTER AND BY...			PDF \| XML \| More

Part 20 - Reserved			PDF \| XML \| More

Part 21 - SPECIAL CALLS			PDF \| XML \| More

Part 30 - FOREIGN FUTURES AND FOREIGN OPTIONS TRANSACTIONS			PDF \| XML \| More

Part 31 - LEVERAGE TRANSACTIONS			PDF \| XML \| More

Part 32 - REGULATION OF COMMODITY OPTION TRANSACTIONS			PDF \| XML \| More

Part 33 - REGULATION OF DOMESTIC EXCHANGE-TRADED COMMODITY OPTION TRANSACTIONS			PDF \| XML \| More

Part 34 - REGULATION OF HYBRID INSTRUMENTS			PDF \| XML \| More

Part 35 - EXEMPTION OF SWAP AGREEMENTS			PDF \| XML \| More

Part 36 - EXEMPTION OF SECTION 4(c) CONTRACT MARKET TRANSACTIONS			PDF \| XML \| More

Part 100 - DELIVERY PERIOD REQUIRED			PDF \| XML \| More

Part 140 - ORGANIZATION, FUNCTIONS, AND PROCEDURES OF THE COMMISSION			PDF \| XML \| More

Part 141 - SALARY OFFSET			PDF \| XML \| More

Part 142 - INDEMNIFICATION OF CFTC EMPLOYEES			PDF \| XML \| More

Part 143 - COLLECTION OF CLAIMS OWED THE UNITED STATES ARISING FROM ACTIVITIES UNDER THE COMMISSION'S...			PDF \| XML \| More

Part 144 - PROCEDURES REGARDING THE DISCLOSURE OF INFORMATION AND THE TESTIMONY OF PRESENT OR FORMER...			PDF \| XML \| More

Part 145 - COMMISSION RECORDS AND INFORMATION			PDF \| XML \| More

Part 146 - RECORDS MAINTAINED ON INDIVIDUALS			PDF \| XML \| More

Part 147 - OPEN COMMISSION MEETINGS			PDF \| XML \| More

Part 148 - IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN COVERED ADJUDICATORY PROCEEDINGS BEFORE THE...			PDF \| XML \| More

Part 149 - ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP IN PROGRAMS OR ACTIVITIES CONDUCTED BY...			PDF \| XML \| More

Part 150 - LIMITS ON POSITIONS			PDF \| XML \| More

Part 155 - TRADING STANDARDS			PDF \| XML \| More

Part 156 - BROKER ASSOCIATIONS			PDF \| XML \| More

Part 166 - CUSTOMER PROTECTION RULES			PDF \| XML \| More

Part 170 - REGISTERED FUTURES ASSOCIATIONS			PDF \| XML \| More

Part 171 - RULES RELATING TO REVIEW OF NATIONAL FUTURES ASSOCIATION DECISIONS IN DISCIPLINARY, MEMBERSHIP...			PDF \| XML \| More

Part 180 - ARBITRATION OR OTHER DISPUTE SETTLEMENT PROCEDURES			PDF \| XML \| More

Part 190 - BANKRUPTCY			PDF \| XML \| More

Parts 191-199 - [RESERVED]			PDF \| XML \| More

Chapter II - SECURITIES ANDEXCHANGE COMMISSION-Continued

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Chapter IV - DEPARTMENT OF THETREASURY (Parts 400 - 450)			PDF \| XML \| More

No Title (Parts 200 - 239)			PDF \| XML \| More

Heading 5 - Unknown Title (Parts 240 - 301)			PDF \| XML \| More

Part 200 - ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS			PDF \| XML \| More

Part 201 - RULES OF PRACTICE			PDF \| XML \| More

Part 202 - INFORMAL AND OTHER PROCEDURES			PDF \| XML \| More

Part 203 - RULES RELATING TO INVESTIGATIONS			PDF \| XML \| More

Part 204 - RULES RELATING TO DEBT COLLECTION			PDF \| XML \| More

Part 209 - FORMS PRESCRIBED UNDER THE COMMISSION'S RULES OF PRACTICE			PDF \| XML \| More

Part 210 - FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES...			PDF \| XML \| More

Part 228 - INTEGRATED DISCLOSURE SYSTEM FOR SMALL BUSINESS ISSUERS			PDF \| XML \| More

Part 229 - STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF...			PDF \| XML \| More

Part 230 - GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933			PDF \| XML \| More

Part 232 - REGULATION S-T-GENERAL RULES AND REGULATIONS FOR ELECTRONIC FILINGS			PDF \| XML \| More

Part 239 - FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933			PDF \| XML \| More