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17 CFR 1.57 - Operations and activities of introducing brokers.


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Parts 0 - 1750. January 1, 2000.
Collapse    Title 17 - Commodity and Securities Exchanges
Parts 1 - 450. April 1, 2000.
Toc - Table Of Contents
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Chapter - Unknown Title (Parts 200 - 301)
Toc - Table Of Contents
Toc - Table Of Contents (Parts 1 - 1)
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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 - Words in singular and plural form.
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 obligations purchased with customer funds.
Section 1.27 - Record of investments.
Section 1.28 - Appraisal of obligations 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 - Contract market rules; submission of rules to the Commission; exemption of certain rules.
Section 1.41a - Delegation of authority to the Directors of the Division of Trading and Markets and the Division...
Section 1.41b - Delegation of authority to the Director of the Division of Trading and Markets and Director of...
Section 1.41c - Delegation of authority to the Director of the Division of Trading and Markets to receive notice...
Section 1.42 - Delivery notice; filing of copy.
Section 1.43 - Information required concerning warehouses.
Section 1.44 - Records and reports of warehouses, depositories, and other similar entities; visitation of premises.
Section 1.45 - Delivery of commodities conforming to United States standards.
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 1.50 - Demonstration of continued compliance with the requirements for contract market designation.
Section 1.51 - Contract market program for enforcement.
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 and governing members who possess material...
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 1.69 - 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 20 - Reserved
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Chapter II - SECURITIES AND EXCHANGECOMMISSION
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