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17 CFR 1.32 - Segregated account; daily computation and record.


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Document in Context
   
Collapse    Title 1 - General Provisions
Parts 1 - 500. January 1, 2004.
Expand    Title 3 - The President
Parts 100 - 102. January 1, 2004.
Expand    Title 4 - Accounts
Parts 2 - 83. January 1, 2004.
Expand    Title 5 - Administrative Personnel
Parts 1 - 8701. January 1, 2004.
Expand    Title 6 - Homeland Security
Parts 5 - 25. January 1, 2004.
Expand    Title 7 - Agriculture
Parts 1 - 4287. January 1, 2004.
Expand    Title 8 - Aliens and Nationality
Parts 1 - 1337. January 1, 2004.
Expand    Title 9 - Animals and Animal Products
Parts 1 - 592. January 1, 2004.
Expand    Title 10 - Energy
Parts 1 - 1800. January 1, 2004.
Expand    Title 11 - Federal Elections
Parts 1 - 9039. January 1, 2004.
Expand    Title 12 - Banks and Banking
Parts 1 - 1815. January 1, 2004.
Expand    Title 13 - Business Credit and Assistance
Parts 101 - 500. January 1, 2004.
Expand    Title 14 - Aeronautics and Space
Parts 1 - 1310. January 1, 2004.
Expand    Title 15 - Commerce and Foreign Trade
Parts 0 - 2301. January 1, 2004.
Expand    Title 16 - Commercial Practices
Parts 0 - 1750. January 1, 2004.
Collapse    Title 17 - Commodity and Securities Exchanges
Parts 1 - 450. April 1, 2004.
Toc - Table Of Contents
Toc - Table Of Contents
Toc - Table Of Contents (Parts 1 - 1)
Collapse
Subjgrp - Definitions (Part 1)
Appendix A to Part 1 - [Reserved]
Appendix B to Part 1 - Fees for Contract Market Rule Enforcement Reviews and Financial Reviews
Section 1.1 - Fraud in or in connection with transactions in foreign currency subject to the Commodity Exchange...
Section 1.2 - Liability of principal for act of agent.
Section 1.3 - Definitions.
Section 1.4 - Use of electronic signatures.
Section 1.10 - Financial reports of futures commission merchants and introducing brokers.
Section 1.11 - [Reserved]
Section 1.12 - Maintenance of minimum financial requirements by futures commission merchants and introducing...
Section 1.13 - [Reserved]
Section 1.14 - Risk assessment recordkeeping requirements for futures commission merchants.
Section 1.15 - Risk assessment reporting requirements for futures commission merchants.
Section 1.16 - Qualifications and reports of accountants.
Section 1.17 - Minimum financial requirements for futures commission merchants and introducing brokers.
Section 1.18 - Records for and relating to financial reporting and monthly computation by futures commission...
Section 1.19 - Prohibited trading in certain “puts” and “calls”.
Section 1.20 - Customer funds to be segregated and separately accounted for.
Section 1.21 - Care of money and equities accruing to customers.
Section 1.22 - Use of customer funds restricted.
Section 1.23 - Interest of futures commission merchant in segregated funds; additions and withdrawals.
Section 1.24 - Segregated funds; exclusions therefrom.
Section 1.25 - Investment of customer funds.
Section 1.26 - Deposit of instruments purchased with customer funds.
Section 1.27 - Record of investments.
Section 1.28 - Appraisal of instruments purchased with customer funds.
Section 1.29 - Increment or interest resulting from investment of customer funds.
Section 1.30 - Loans by futures commission merchants; treatment of proceeds.
Section 1.31 - Books and records; keeping and inspection.
Section 1.32 - Segregated account; daily computation and record.
Section 1.33 - Monthly and confirmation statements.
Section 1.34 - Monthly record, “point balance”.
Section 1.35 - Records of cash commodity, futures, and option transactions.
Section 1.36 - Record of securities and property received from customers and option customers.
Section 1.37 - Customer's or option customer's name, address, and occupation recorded; record of guarantor or...
Section 1.38 - Execution of transactions.
Section 1.39 - Simultaneous buying and selling orders of different principals; execution of, for and between...
Section 1.40 - Crop, market information letters, reports; copies required.
Section 1.41 - [Reserved]
Section 1.41a-1.41c - [Reserved]
Section 1.42-1.43 - [Reserved]
Section 1.44 - Records and reports of warehouses, depositories, and other similar entities; visitation of premises.
Section 1.45 - [Reserved]
Section 1.46 - Application and closing out of offsetting long and short positions.
Section 1.47 - Requirements for classification of purchases or sales of contracts for future delivery as bona...
Section 1.48 - Requirements for classification of sales or purchases for future delivery as bona fide hedging of...
Section 1.49 - Denomination of customer funds and location of depositories.
Section 1.50-1.51 - [Reserved]
Section 1.52 - Self-regulatory organization adoption and surveillance of minimum financial requirements.
Section 1.53 - Enforcement of contract market bylaws, rules, regulations, and resolutions.
Section 1.54 - Contract market rules submitted to and approved or not disapproved by the Secretary of Agriculture.
Section 1.55 - Distribution of “Risk Disclosure Statement” by futures commission merchants and introducing brokers.
Section 1.56 - Prohibition of guarantees against loss.
Section 1.57 - Operations and activities of introducing brokers.
Section 1.58 - Gross collection of exchange-set margins.
Section 1.59 - Activities of self-regulatory organization employees, governing board members, committee members...
Section 1.60 - Pending legal proceedings.
Section 1.61 - [Reserved]
Section 1.62 - Contract market requirement for floor broker and floor trader registration.
Section 1.63 - Service on self-regulatory organization governing boards or committees by persons with...
Section 1.64 - Composition of various self-regulatory organization governing boards and major disciplinary...
Section 1.65 - Notice of bulk transfers and disclosure obligations to customers.
Section 1.66 - No-action positions with respect to floor traders.
Section 1.67 - Notification of final disciplinary action involving financial harm to a customer.
Section 1.68 - Customer election not to have funds, carried by a futures commission merchant for trading on a...
Section 1.69 - Voting by interested members of self-regulatory organization governing boards and various...
Section 1.70 - Notification of State enforcement actions brought under the Commodity Exchange Act.
Part 5 - Reserved
Part 20 - Reserved
Parts 191-199 - Reserved
Expand
Chapter II - SECURITIES AND EXCHANGE COMMISSION (CONTINUED) (Parts 200 - 301)
Expand    Title 18 - Conservation of Power and Water Resources
Parts 1 - 1317. April 1, 2004.
Expand    Title 19 - Customs Duties
Parts 0 - 360. April 1, 2004.
Expand    Title 20 - Employees' Benefits
Parts 1 - 1001. April 1, 2004.
Expand    Title 21 - Food and Drugs
Parts 1 - 1499. April 1, 2004.
Expand    Title 22 - Foreign Relations
Parts 1 - 1701. April 1, 2004.
Expand    Title 23 - Highways
Parts 1 - 1399. April 1, 2004.
Expand    Title 24 - Housing and Urban Development
Parts 0 - 4100. April 1, 2004.
Expand    Title 25 - INDIANS
Parts 1 - 1200. April 1, 2004.
Expand    Title 26 - Internal Revenue
Parts 1 - 801. April 1, 2004.
Expand    Title 27 - Alcohol, Tobacco Products and Firearms
Parts 1 - 646. April 1, 2004.
Expand    Title 28 - Judicial Administration
Parts 0 - 1100. July 1, 2004.
Expand    Title 29 - Labor
Parts 1 - 4907. July 1, 2004.
Expand    Title 30 - Mineral Resources
Parts 1 - 955. July 1, 2004.
Expand    Title 31 - Money and Finance: Treasury
Parts 0 - 904. July 1, 2004.
Expand    Title 32 - National Defense
Parts 1 - 2800. July 1, 2004.
Expand    Title 33 - Navigation and Navigable Waters
Parts 1 - 499. July 1, 2004.
Expand    Title 34 - Education
Parts 3 - 1200. July 1, 2004.
Expand    Title 36 - Parks, Forests, and Public Property
Parts 1 - 1600. July 1, 2004.
Expand    Title 38 - Pensions, Bonuses, and Veterans' Relief
Parts 0 - 61. July 1, 2004.
Expand    Title 39 - Postal Service
Parts 1 - 3004. July 1, 2004.
Expand    Title 40 - Protection of Environment
Parts 1 - 1700. July 1, 2004.
Expand    Title 41 - Public Contracts and Property Management
Parts 50 - 304. July 1, 2004.
Expand    Title 42 - Public Health
Parts 1 - 1008. October 1, 2004.
Expand    Title 43 - Public Lands: Interior
Parts 1 - 10010. October 1, 2004.
Expand    Title 45 - Public Welfare
Parts 1 - 2555. October 1, 2004.
Expand    Title 46 - Shipping