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Section 1.2
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Definitions |
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Section 1.3
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Electronic signatures, acknowledgments and verifications |
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Section 1.4
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Anti-evasion |
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Section 1.6
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Books and records requirements for security-based swap agreements |
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Section 1.7
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Requests for interpretation of swaps, security-based swaps, and mixed swaps |
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Section 1.8
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Regulation of mixed swaps |
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Section 1.9
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Financial reports of futures commission merchants and introducing brokers |
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Section 1.10
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Risk Management Program for futures commission merchants |
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Section 1.11
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Maintenance of minimum financial requirements by futures commission merchants and introducing brokers |
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Section 1.12
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Risk assessment recordkeeping requirements for futures commission merchants |
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Section 1.14
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Risk assessment reporting requirements for futures commission merchants |
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Section 1.15
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Qualifications and reports of accountants |
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Section 1.16
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Minimum financial requirements for futures commission merchants and introducing brokers |
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Section 1.17
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Records for and relating to financial reporting and monthly computation by futures commission merchants and |
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Section 1.18
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Prohibited trading in certain ``puts'' and ``calls'' |
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Section 1.19
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Futures customer funds to be segregated and separately accounted for |
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Section 1.20
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Care of money and equities accruing to futures customers |
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Section 1.21
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Use of futures customer funds restricted |
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Section 1.22
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Use of futures customer funds restricted |
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Section 1.22
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Interest of futures commission merchant in segregated futures customer funds; additions and withdrawals |
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Section 1.23
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Segregated funds; exclusions therefrom |
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Section 1.24
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Investment of customer funds |
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Section 1.25
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Deposit of instruments purchased with futures customer funds |
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Section 1.26
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Record of investments |
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Section 1.27
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Appraisal of instruments purchased with customer funds |
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Section 1.28
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Gains and losses resulting from investment of customer funds |
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Section 1.29
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Loans by futures commission merchants; treatment of proceeds |
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Section 1.30
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Books and records; keeping and inspection |
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Section 1.31
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Reporting of segregated account computation and details regarding the holding of futures customer funds |
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Section 1.32
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Monthly and confirmation statements |
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Section 1.33
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Monthly record, ``point balance'' |
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Section 1.34
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Records of commodity interest and related cash or forward transactions |
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Section 1.35
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Record of securities and property received from customers |
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Section 1.36
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Customer's name, address, and occupation recorded; record of guarantor or controller of account |
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Section 1.37
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Execution of transactions |
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Section 1.38
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Simultaneous buying and selling orders of different principals; execution of, for and between principals |
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Section 1.39
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Crop, market information letters, reports; copies required |
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Section 1.40
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Application and closing out of offsetting long and short positions |
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Section 1.46
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Denomination of customer funds and location of depositories |
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Section 1.49
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Self-regulatory organization adoption and surveillance of minimum financial requirements |
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Section 1.52
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Contract market rules submitted to and approved or not disapproved by the Secretary of Agriculture |
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Section 1.54
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Public disclosures by futures commission merchants |
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Section 1.55
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Prohibition of guarantees against loss |
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Section 1.56
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Operations and activities of introducing brokers |
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Section 1.57
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Gross collection of exchange-set margins |
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Section 1.58
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Activities of self-regulatory organization employees, governing board members, committee members, and consultants |
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Section 1.59
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Pending legal proceedings |
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Section 1.60
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Service on self-regulatory organization governing boards or committees by persons with disciplinary histories |
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Section 1.63
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Composition of various self-regulatory organization governing boards and major disciplinary committees |
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Section 1.64
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Notice of bulk transfers and disclosure obligations to customers |
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Section 1.65
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No-action positions with respect to floor traders |
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Section 1.66
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Notification of final disciplinary action involving financial harm to a customer |
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Section 1.67
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Voting by interested members of self-regulatory organization governing boards and various committees |
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Section 1.69
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Notification of State enforcement actions brought under the Commodity Exchange Act |
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Section 1.70
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Conflicts of interest policies and procedures by futures commission merchants and introducing brokers |
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Section 1.71
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Restrictions on customer clearing arrangements |
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Section 1.72
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Clearing futures commission merchant risk management |
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Section 1.73
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Futures commission merchant acceptance for clearing |
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Section 1.74
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Delegation of authority to the Director of the Division of Clearing and Risk to establish an alternative compliance |
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Section 1.75
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Description |