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Each futures commission merchant and each introducing broker shall retain, in accordance with § 1.31 of this chapter, all promotional material it provides, directly or indirectly, to option customers as well as the true source of authority for the information contained therein.
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.
§ 1a - Definitions
§ 2 - Jurisdiction of Commission; liability of principal for act of agent; Commodity Futures Trading Commission; transaction in interstate commerce
§ 6a - Excessive speculation
§ 6b - Contracts designed to defraud or mislead
§ 6c - Prohibited transactions
§ 6d - Dealing by unregistered futures commission merchants or introducing brokers prohibited; duties in handling customer receipts; conflict-of-interest...avoid duplicative regulations; swap requirements; portfolio margining accounts
§ 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
§ 6l - Commodity trading advisors and commodity pool operators; Congressional finding
§ 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
§ 6o - Fraud and misrepresentation by commodity trading advisors, commodity pool operators, and associated persons
§ 7 - Designation of boards of trade as contract markets
§ 7a - Repealed. Pub. L. 111–203, title VII, § 734(a), July 21, 2010, 124 Stat. 1718
§ 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
§ 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 09-May-2017 03:50
The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR Part 33 after this date.
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is issuing a final rule to repeal and replace the Commission's current regulations concerning commodity options. The Commission is also issuing an interim final rule (with a request for additional comment) that incorporates a trade option exemption into the final rules for commodity options (added § 32.3). For a transaction to be within the trade option exemption, the option, the offeror (seller), and the offeree (buyer), as applicable, must satisfy certain eligibility requirements, including that the option, if exercised, be physically settled, that the option seller meet certain eligibility requirements, and that the option buyer be a commercial user of the commodity underlying the option, and certain other regulatory conditions. Only comments pertaining to the interim final rule will be considered in any further action related to these rules.