Chapter 1 · COMMODITY EXCHANGES

Contents (89)

Section 1Short title
Section 1aDefinitions
Section 1bRequirements of Secretary of the Treasury regarding exemption of foreign exchange swaps and foreign exchange forwards from definition of the term “swap”
Section 2Jurisdiction of Commission; liability of principal for act of agent; Commodity Futures Trading Commission; transaction in interstate commerce
Section 2a2a to 4a. Transferred
Section 3Transaction in interstate commerce
Section 4Liability of principal for act of agent
Section 4aCommodity Futures Trading Commission
Section 5Findings and purpose
Section 6Regulation of futures trading and foreign transactions
Section 6aExcessive speculation
Section 6bContracts designed to defraud or mislead
Section 6b-1Enforcement authority
Section 6cProhibited transactions
Section 6dDealing by unregistered futures commission merchants or introducing brokers prohibited; duties in handling customer receipts; rules to avoid duplicative regulations
Section 6eDealings by unregistered floor trader or broker prohibited
Section 6fRegistration and financial requirements; risk assessment
Section 6gReporting and recordkeeping
Section 6hFalse self-representation as registered entity member prohibited
Section 6iReports of deals equal to or in excess of trading limits; books and records; cash and controlled transactions
Section 6jRestrictions on dual trading in security futures products on designated contract markets and registered derivatives transaction execution facilities
Section 6kRegistration of associates of futures commission merchants, commodity pool operators, and commodity trading advisors; required disclosure of disqualifications; exemptions for associated persons
Section 6lCommodity trading advisors and commodity pool operators; Congressional finding
Section 6mUse of mails or other means or instrumentalities of interstate commerce by commodity trading advisors and commodity pool operators; relation to other law
Section 6nRegistration of commodity trading advisors and commodity pool operators; application; expiration and renewal; record keeping and reports; disclosure; statements of account
Section 6oFraud and misrepresentation by commodity trading advisors, commodity pool operators, and associated persons
Section 6oTransferred
Section 6pStandards and examinations
Section 6qSpecial procedures to encourage and facilitate bona fide hedging by agricultural producers
Section 6rReporting and recordkeeping for uncleared swaps
Section 6sRegistration and regulation of swap dealers and major swap participants
Section 6tLarge swap trader reporting
Section 7Designation of boards of trade as contract markets
Section 7aDerivatives transaction execution facilities
Section 7aDerivatives clearing organizations
Section 7aCommon provisions applicable to registered entities
Section 7aExempt boards of trade
Section 7bSuspension or revocation of designation as registered entity
Section 7bDesignation of securities exchanges and associations as contract markets
Section 7bPrivacy
Section 7b-3Swap execution facilities
Section 8Application for designation as contract market or derivatives transaction execution facility; time; suspension or revocation of designation; hearing; review by court of appeals
Section 9Exclusion of persons from privilege of registered entities; procedure for exclusion; review by court of appeals
Section 9aAssessment of money penalties
Section 9bRules prohibiting deceptive and other abusive telemarketing acts or practices
Section 9cNotice of investigations and enforcement actions
Section 10Repealed. June 25, 1948, ch. 646, 39, 62 Stat. 992, eff. Sept. 1, 1948
Section 10aCooperative associations and corporations, exclusion from board of trade; rules of board inapplicable to payment of compensation by association
Section 11Vacation on request of designation or registration as registered entity; redesignation or reregistration
Section 12Public disclosure
Section 12121 to 123. Omitted
Section 12aRegistration of commodity dealers and associated persons; regulation of registered entities
Section 12bTrading ban violations; prohibition
Section 12cDisciplinary actions
Section 12dCommission action for noncompliance with export sales reporting requirements
Section 12eRepealed. Pub. L. 106554, 1(a)(5) [title I, 123(a)(21)], Dec. 21, 2000, 114 Stat. 2763, 2763A410
Section 13Violations generally; punishment; costs of prosecution
Section 13Violations, prohibition against dealings in onion futures; punishment
Section 13aNonenforcement of rules of government or other violations; cease and desist orders; fines and penalties; imprisonment; misdemeanor; separate offenses
Section 13aEnjoining or restraining violations
Section 13aJurisdiction of States
Section 13bManipulations or other violations; cease and desist orders against persons other than registered entities; punishment; misdemeanor or felony; separate offenses
Section 13cResponsibility as principal; minor violations
Section 14Repealed. Pub. L. 99641, title I, 110(5), Nov. 10, 1986, 100 Stat. 3561
Section 15Enforcement powers of Commission
Section 15aRepealed. Pub. L. 95405, 24, Sept. 30, 1978, 92 Stat. 877
Section 15bCotton futures contracts
Section 16Commission operations
Section 16aService fees and National Futures Association study
Section 17Separability
Section 17aSeparability of 1936 amendment
Section 17bSeparability of 1968 amendment
Section 18Complaints against registered persons
Section 19Consideration of costs and benefits and antitrust laws
Section 20Market reports
Section 21Registered futures associations
Section 22Research and information programs; reports to Congress
Section 23Standardized contracts for certain commodities
Section 24Regulations respecting commodity broker debtors; definitions
Section 24aSwap data repositories
Section 25Private rights of action
Section 26Repealed. Pub. L. 102546, title IV, 402(15), Oct. 28, 1992, 106 Stat. 3625
Section 27Definitions
Section 27aExclusion of identified banking products commonly offered on or before December 5, 2000
Section 27bExclusion of certain identified banking products offered by banks after December 5, 2000
Section 27cExclusion of certain other identified banking products
Section 27dAdministration of the predominance test
Section 27eExclusion of covered swap agreements
Section 27fContract enforcement