Contents
- 1 Short title
- 1a Definitions61 changes
- 1b Requirements of Secretary of the Treasury regarding exemption of foreign exchange swaps and foreign exchange forwards from definition of the term “swap”
- 2 Jurisdiction of Commission; liability of principal for act of agent; Commodity Futures Trading Commission; transaction in interstate commerce104 changes
- 5 Findings and purpose
- 6 Regulation of futures trading and foreign transactions15 changes
- 6a Excessive speculation29 changes
- 6b Contracts designed to defraud or mislead9 changes
- 6c Prohibited transactions26 changes
- 6d Dealing by unregistered futures commission merchants or introducing brokers prohibited; duties in handling customer receipts; conflict-of-interest systems and procedures; Chief Compliance Officer; rules to avoid duplicative regulations; swap requirements; portfolio margining accounts15 changes
- 6e Dealings by unregistered floor trader or broker prohibited3 changes
- 6f Registration and financial requirements; risk assessment13 changes
- 6g Reporting and recordkeeping13 changes
- 6h False self-representation as registered entity member prohibited2 changes
- 6i Reports of deals equal to or in excess of trading limits; books and records; cash and controlled transactions5 changes
- 6j Restrictions on dual trading in security futures products on designated contract markets and registered derivatives transaction execution facilities5 changes
- 6k Registration of associates of futures commission merchants, commodity pool operators, and commodity trading advisors; required disclosure of disqualifications; exemptions for associated persons9 changes
- 6l Commodity trading advisors and commodity pool operators; Congressional finding1 change
- 6m Use of mails or other means or instrumentalities of interstate commerce by commodity trading advisors and commodity pool operators; relation to other law5 changes
- 6n Registration of commodity trading advisors and commodity pool operators; application; expiration and renewal; record keeping and reports; disclosure; statements of account4 changes
- 6o Fraud and misrepresentation by commodity trading advisors, commodity pool operators, and associated persons3 changes
- 6p Standards and examinations4 changes
- 6q Special procedures to encourage and facilitate bona fide hedging by agricultural producers1 change
- 6r Reporting and recordkeeping for uncleared swaps
- 6s Registration and regulation of swap dealers and major swap participants2 changes
- 6t Large swap trader reporting
- 7 Designation of boards of trade as contract markets3 changes
- 7a Repealed. Pub. L. 111–203, title VII, § 734(a), July 21, 2010, 124 Stat. 1718
- 7b Suspension or revocation of designation as registered entity6 changes
- 8 Application for designation as contract market or derivatives transaction execution facility; time; suspension or revocation of designation; hearing; review by court of appeals23 changes
- 9 Prohibition regarding manipulation and false information12 changes
- 9a Assessment of money penalties3 changes
- 9b Rules prohibiting deceptive and other abusive telemarketing acts or practices
- 9c Notice of investigations and enforcement actions
- 10 Repealed. June 25, 1948, ch. 646, § 39, 62 Stat. 992, eff. Sept. 1, 1948
- 10a Cooperative associations and corporations, exclusion from board of trade; rules of board inapplicable to payment of compensation by association3 changes
- 11 Vacation on request of designation or registration as “registered entity”; redesignation or reregistration2 changes
- 12 Public disclosure16 changes
- 12a Registration of commodity dealers and associated persons; regulation of registered entities45 changes
- 12b Trading ban violations; prohibition2 changes
- 12c Disciplinary actions3 changes
- 12d Commission action for noncompliance with export sales reporting requirements
- 12e Repealed. Pub. L. 106–554, § 1(a)(5) [title I, § 123(a)(21)], Dec. 21, 2000, 114 Stat. 2763, 2763A–410
- 13 Violations generally; punishment; costs of prosecution29 changes
- 13a Nonenforcement of rules of government or other violations; cease and desist orders; fines and penalties; imprisonment; misdemeanor; separate offenses6 changes
- 13b Manipulations or other violations; cease and desist orders against persons other than registered entities; punishment6 changes
- 13c Responsibility as principal; minor violations5 changes
- 14 Repealed. Pub. L. 99–641, title I, § 110(5), Nov. 10, 1986, 100 Stat. 3561
- 15 Omitted
- 15a Repealed. Pub. L. 95–405, § 24, Sept. 30, 1978, 92 Stat. 877
- 15b Cotton futures contracts4 changes
- 16 Commission operations17 changes
- 16a Service fees and National Futures Association study1 change
- 17 Separability
- 17a Separability of 1936 amendment
- 17b Separability of 1968 amendment
- 18 Complaints against registered persons17 changes
- 19 Consideration of costs and benefits and antitrust laws2 changes
- 20 Market reports2 changes
- 21 Registered futures associations31 changes
- 22 Research and information programs; reports to Congress
- 23 Standardized contracts for certain commodities6 changes
- 24 Customer property with respect to commodity broker debtors; definitions2 changes
- 24a Swap data repositories3 changes
- 25 Private rights of action22 changes
- 26 Commodity whistleblower incentives and protection
- 27 Definitions3 changes
- 27a Exclusion of identified banking product1 change
- 27b Repealed. Pub. L. 111–203, title VII, § 725(g)(1)(A), July 21, 2010, 124 Stat. 1694
- 27c Exclusion of certain other identified banking products
- 27d Administration of the predominance test
- 27e Repealed. Pub. L. 111–203, title VII, § 725(g)(1)(A), July 21, 2010, 124 Stat. 1694
- 27f Contract enforcement2 changes
- 12–1 to 12–3 Omitted
- 13a–1 Enjoining or restraining violations8 changes
- 13a–2 Jurisdiction of States3 changes
- 13–1 Violations, prohibition against dealings in motion picture box office receipts or onion futures; punishment1 change
- 2a to 4a Transferred
- 6b–1 Enforcement authority
- 6o–1 Transferred
- 7a–1 Derivatives clearing organizations8 changes
- 7a–2 Common provisions applicable to registered entities15 changes
- 7a–3 Repealed. Pub. L. 111–203, title VII, § 734(a), July 21, 2010, 124 Stat. 1718
- 7b–1 Designation of securities exchanges and associations as contract markets
- 7b–2 Privacy
- 7b–3 Swap execution facilities
Contents
2,545 provisions, too many to show on one page. Open a part or section to read it with its history and connections, or search inside the text.
- 1 · Commodity exchanges
- 1 Short title
- 1a Definitions
- 1b Requirements of Secretary of the Treasury regarding exemption of foreign exchange swaps and foreign exchange forwards from definition of the term “swap”
- 2 Jurisdiction of Commission; liability of principal for act of agent; Commodity Futures Trading Commission; transaction in interstate commerce
- 5 Findings and purpose
- 6 Regulation of futures trading and foreign transactions
- 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 systems and procedures; Chief Compliance Officer; rules to 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
- 6p Standards and examinations
- 6q Special procedures to encourage and facilitate bona fide hedging by agricultural producers
- 6r Reporting and recordkeeping for uncleared swaps
- 6s Registration and regulation of swap dealers and major swap participants
- 6t Large swap trader reporting
- 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
- 9a Assessment of money penalties
- 9b Rules prohibiting deceptive and other abusive telemarketing acts or practices
- 9c Notice of investigations and enforcement actions
- 10 Repealed. June 25, 1948, ch. 646, § 39, 62 Stat. 992, eff. Sept. 1, 1948
- 10a Cooperative associations and corporations, exclusion from board of trade; rules of board inapplicable to payment of compensation by association
- 11 Vacation on request of designation or registration as “registered entity”; redesignation or reregistration
- 12 Public disclosure
- 12a Registration of commodity dealers and associated persons; regulation of registered entities
- 12b Trading ban violations; prohibition
- 12c Disciplinary actions
- 12d Commission action for noncompliance with export sales reporting requirements
- 12e Repealed. Pub. L. 106–554, § 1(a)(5) [title I, § 123(a)(21)], Dec. 21, 2000, 114 Stat. 2763, 2763A–410
- 13 Violations generally; punishment; costs of prosecution
- 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
- 13c Responsibility as principal; minor violations
- 14 Repealed. Pub. L. 99–641, title I, § 110(5), Nov. 10, 1986, 100 Stat. 3561
- 15 Omitted
- 15a Repealed. Pub. L. 95–405, § 24, Sept. 30, 1978, 92 Stat. 877
- 15b Cotton futures contracts
- 16 Commission operations
- 16a Service fees and National Futures Association study
- 17 Separability
- 17a Separability of 1936 amendment
- 17b Separability of 1968 amendment
- 18 Complaints against registered persons
- 19 Consideration of costs and benefits and antitrust laws
- 20 Market reports
- 21 Registered futures associations
- 22 Research and information programs; reports to Congress
- 23 Standardized contracts for certain commodities
- 24 Customer property with respect to commodity broker debtors; definitions
- 24a Swap data repositories
- 25 Private rights of action
- 26 Commodity whistleblower incentives and protection
- 27 Definitions
- 27a Exclusion of identified banking product
- 27b Repealed. Pub. L. 111–203, title VII, § 725(g)(1)(A), July 21, 2010, 124 Stat. 1694
- 27c Exclusion of certain other identified banking products
- 27d Administration of the predominance test
- 27e Repealed. Pub. L. 111–203, title VII, § 725(g)(1)(A), July 21, 2010, 124 Stat. 1694
- 27f Contract enforcement
- 12–1 to 12–3 Omitted
- 13a–1 Enjoining or restraining violations
- 13a–2 Jurisdiction of States
- 13–1 Violations, prohibition against dealings in motion picture box office receipts or onion futures; punishment
- 2a to 4a Transferred
- 6b–1 Enforcement authority
- 6o–1 Transferred
- 7a–1 Derivatives clearing organizations
- 7a–2 Common provisions applicable to registered entities
- 7a–3 Repealed. Pub. L. 111–203, title VII, § 734(a), July 21, 2010, 124 Stat. 1718
- 7b–1 Designation of securities exchanges and associations as contract markets
- 7b–2 Privacy
- 7b–3 Swap execution facilities
United States Government work; public domain under 17 U.S.C. § 105.