17 CFR Part 1 - GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT

prev | next
  1. Prohibited Trading in Commodity Options (§ 1.19)
    1. § 1.19 Prohibited trading in certain “puts” and “calls”.
  2. Miscellaneous (§§ 1.40 - 1.75)
    1. § 1.40 Crop, market information letters, reports; copies required.
    2. §§ 1.41-1.45 [Reserved]
    3. § 1.46 Application and closing out of offsetting long and short positions.
    4. §§ 1.47-1.48 [Reserved]
    5. § 1.49 Denomination of customer funds and location of depositories.
    6. §§ 1.50-1.51 [Reserved]
    7. § 1.52 Self-regulatory organization adoption and surveillance of minimum financial requirements.
    8. § 1.53 [Reserved]
    9. § 1.54 Contract market rules submitted to and approved or not disapproved by the Secretary of Agriculture.
    10. § 1.55 Public disclosures by futures commission merchants.
    11. § 1.56 Prohibition of guarantees against loss.
    12. § 1.57 Operations and activities of introducing brokers.
    13. § 1.58 Gross collection of exchange-set margins.
    14. § 1.59 Activities of self-regulatory organization employees, governing board members, committee members, and consultants.
    15. § 1.60 Pending legal proceedings.
    16. §§ 1.61-1.62 [Reserved]
    17. § 1.63 Service on self-regulatory organization governing boards or committees by persons with disciplinary histories.
    18. § 1.64 Composition of various self-regulatory organization governing boards and major disciplinary committees.
    19. § 1.65 Notice of bulk transfers and disclosure obligations to customers.
    20. § 1.66 No-action positions with respect to floor traders.
    21. § 1.67 Notification of final disciplinary action involving financial harm to a customer.
    22. § 1.68 [Reserved]
    23. § 1.69 Voting by interested members of self-regulatory organization governing boards and various committees.
    24. § 1.70 Notification of State enforcement actions brought under the Commodity Exchange Act.
    25. § 1.71 Conflicts of interest policies and procedures by futures commission merchants and introducing brokers.
    26. § 1.72 Restrictions on customer clearing arrangements.
    27. § 1.73 Clearing futures commission merchant risk management.
    28. § 1.74 Futures commission merchant acceptance for clearing.
    29. § 1.75 Delegation of authority to the Director of the Division of Clearing and Risk to establish an alternative compliance schedule to comply with futures commission merchant acceptance for clearing.
  3. Appendix A to Part 1 [Reserved]
  4. Appendix B to Part 1 - Fees for Contract Market Rule Enforcement Reviews and Financial Reviews
  5. Appendix C to Part 1 [Reserved]
Authority:
7 U.S.C. 1a, 2, 5, 6, 6a, 6b, 6c, 6d, 6e, 6f, 6g, 6h, 6i, 6k, 6l, 6m, 6n, 6o, 6p, 6r, 6s, 7, 7a-1, 7a-2, 7b, 7b-3, 8, 9, 10a, 12, 12a, 12c, 13a, 13a-1, 16, 16a, 19, 21, 23, and 24 (2012).
Source:
41 FR 3194, Jan. 21, 1976, unless otherwise noted.