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CFR › Title 17 › Chapter I › Part 33 › Section 33.9

17 CFR 33.9 - Unlawful activities.

There is 1 rule appearing in the Federal Register for 17 CFR 33. Select the tab below to view, or View eCFR (GPOAccess)
§ 33.9 Unlawful activities.
It shall be unlawful for any person:
(a) Required to be registered with the Commission in accordance with the Act or these regulations expressly or impliedly to represent that the Commission, by declaring effective the registration of such person or otherwise, has directly or indirectly approved such person, or any commodity option transaction solicited or accepted by such person;
(b) In or in connection with an offer to enter into, the entry into, the confirmation of the execution of, or the maintenance of any commodity option transaction, expressly or impliedly to represent that compliance with the provisions of the Act or these regulations constitutes a guarantee of the fulfillment of the commodity option transaction;
(c) Upon acceptance of an order for a commodity option transaction, to fail unreasonably to secure prompt execution of such order or upon rejection of an order to fail to notify the person whose order has been rejected of such rejection;
(d) To manipulate or attempt to manipulate the market price of any commodity option on or subject to the rules of any contract market: Provided, however, That for purposes of this paragraph (d), any action taken by a contract market pursuant to a rule approved by the Commission or any emergency action which a contract market is permitted to take pursuant to the Act or these regulations shall not be deemed to be a manipulation; and
(e) Upon acceptance of an order for a commodity option transaction to bucket such order.
[46 FR 54529, Nov. 3, 1981; 46 FR 55925, Nov. 13, 1981]

Title 17 published on 2012-04-01

The following are only the Rules published in the Federal Register after the published date of Title 17.

For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.

  • 2012-04-27; vol. 77 # 82 - Friday, April 27, 2012
    1. 77 FR 25320 - Commodity Options
      GPO FDSys XML | Text
      COMMODITY FUTURES TRADING COMMISSION
      Final rule and interim final rule.
      Effective date: The effective date for this final rule and the interim final rule June 26, 2012. Comment date: Comments on § 32.3, the interim final rule portion of this document, must be received on or before June 26, 2012. Compliance date: For compliance dates for these final rules, see SUPPLEMENTARY INFORMATION at section IV(D), below.
      17 CFR Parts 3, 32, and 33

This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.

This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].

It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.

United States Code
USC : Title 7 - AGRICULTURE

§ 1a - Definitions

§ 2 - Jurisdiction of Commission; liability of principal for act of agent; Commodity Futures Trading Commission; transaction in interstate commerce

§ 4

§ 6a - Excessive speculation

§ 6b - Contracts designed to defraud or mislead

7 USC § 6b–1 - Enforcement authority

§ 6c - Prohibited transactions

§ 6d - Dealing by unregistered futures commission merchants or introducing brokers prohibited; duties in handling customer receipts; conflict-of-interest systems and procedures;...to avoid duplicative regulations; swap requirements; portfolio margin

§ 6e - Dealings by unregistered floor trader or broker prohibited

§ 6f - Registration and financial requirements; risk assessment

§ 6g - Reporting and recordkeeping

§ 6h - False self-representation as registered entity member prohibited

§ 6i - Reports of deals equal to or in excess of trading limits; books and records; cash and controlled transactions

§ 6j - Restrictions on dual trading in security futures products on designated contract markets and registered derivatives transaction execution facilities

§ 6k - Registration of associates of futures commission merchants, commodity pool operators, and commodity trading advisors; required disclosure of disqualifications; exemptions for associated persons

7 USC § -

§ 6m - Use of mails or other means or instrumentalities of interstate commerce by commodity trading advisors and commodity pool operators; relation to other law

§ 6n - Registration of commodity trading advisors and commodity pool operators; application; expiration and renewal; record keeping and reports; disclosure; statements of account

7 USC § -

§ 7 - Designation of boards of trade as contract markets

§ 7a - Repealed.

7 USC § 7a–1 - Derivatives clearing organizations

7 USC § 7a–2 - Common provisions applicable to registered entities

7 USC § 7a–3 - Repealed.

§ 7b - Suspension or revocation of designation as registered entity

§ 8 - Application for designation as contract market or derivatives transaction execution facility; time; suspension or revocation of designation; hearing; review by court of appeals

§ 9 - Prohibition regarding manipulation and false information

§ 11 - Vacation on request of designation or registration as “registered entity”; redesignation or reregistration

§ 12a - Registration of commodity dealers and associated persons; regulation of registered entities

§ 12c - Disciplinary actions

§ 13a - Nonenforcement of rules of government or other violations; cease and desist orders; fines and penalties; imprisonment; misdemeanor; separate offenses

7 USC § 13a–1 - Enjoining or restraining violations

§ 13b - Manipulations or other violations; cease and desist orders against persons other than registered entities; punishment

§ 19 - Consideration of costs and benefits and antitrust laws

§ 21 - Registered futures associations

Title 17 published on 2012-04-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 33 after this date.

  • 2012-04-27; vol. 77 # 82 - Friday, April 27, 2012
    1. 77 FR 25320 - Commodity Options
      GPO FDSys XML | Text
      COMMODITY FUTURES TRADING COMMISSION
      Final rule and interim final rule.
      Effective date: The effective date for this final rule and the interim final rule June 26, 2012. Comment date: Comments on § 32.3, the interim final rule portion of this document, must be received on or before June 26, 2012. Compliance date: For compliance dates for these final rules, see SUPPLEMENTARY INFORMATION at section IV(D), below.
      17 CFR Parts 3, 32, and 33