Part 1 — General Regulations under the Commodity Exchange Act

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• §1.1 Reserved
• §1.2 Liability of principal for act of agent.
• §1.3 Definitions.
• §1.4 Electronic signatures, acknowledgments and verifications.
• §1.6 Anti-evasion.
• §1.7 Books and records requirements for security-based swap agreements.
• §1.8 Requests for interpretation of swaps, security-based swaps, and mixed swaps.
• §1.9 Regulation of mixed swaps.
• §1.10 Financial reports of futures commission merchants and introducing brokers.
• §1.11 Risk Management Program for futures commission merchants.
• §1.12 Maintenance of minimum financial requirements by futures commission merchants and introducing brokers.
• §1.13 Reserved
• §1.14 Risk assessment recordkeeping requirements for futures commission merchants.
• §1.15 Risk assessment reporting requirements for futures commission merchants.
• §1.16 Qualifications and reports of accountants.
• §1.17 Minimum financial requirements for futures commission merchants and introducing brokers.
• §1.18 Records for and relating to financial reporting and monthly computation by futures commission merchants and introducing brokers.
• §1.19 Prohibited trading in certain “puts” and “calls”.
• §1.20 Futures customer funds to be segregated and separately accounted for.
• §1.21 Care of money and equities accruing to futures customers.
• §1.22 Use of futures customer funds restricted.
• §1.23 Interest of futures commission merchant in segregated futures customer funds; additions and withdrawals.
• §1.24 Segregated funds; exclusions therefrom.
• §1.25 Investment of customer funds.
• §1.26 Deposit of instruments purchased with futures customer funds.
• §1.27 Record of investments.
• §1.28 Appraisal of instruments purchased with customer funds.
• §1.29 Gains and losses resulting from investment of customer funds.
• §1.30 Loans by futures commission merchants; treatment of proceeds.
• §1.31 Regulatory records; retention and production.
• §1.32 Reporting of segregated account computation and details regarding the holding of futures customer funds.
• §1.33 Monthly and confirmation statements.
• §1.34 Monthly record, “point balance”.
• §1.35 Records of commodity interest and related cash or forward transactions.
• §1.36 Record of securities and property received from customers.
• §1.37 Customer's name, address, and occupation recorded; record of guarantor or controller of account.
• §1.38 Execution of transactions.
• §1.39 Simultaneous buying and selling orders of different principals; execution of, for and between principals.
• §1.40 Crop, market information letters, reports; copies required.
• §1.41 Designation of hedging accounts.
• §1.42 Delivery accounts.
• §1.43 Letters of credit as collateral.
• §1.44 Margin adequacy and treatment of separate accounts.
• §1.45 Reserved
• §1.46 Application and closing out of offsetting long and short positions.
• §1.47-1.48 Reserved
• §1.49 Denomination of customer funds and location of depositories.
• §1.50-1.51 Reserved
• §1.52 Self-regulatory organization adoption and surveillance of minimum financial requirements.
• §1.53 Reserved
• §1.54 Contract market rules submitted to and approved or not disapproved by the Secretary of Agriculture.
• §1.55 Public disclosures by futures commission merchants.
• §1.56 Prohibition of guarantees against loss.
• §1.57 Operations and activities of introducing brokers.
• §1.58 Gross collection of exchange-set margins.
• §1.59 Activities of self-regulatory organization employees, governing board members, committee members, and consultants.
• §1.60 Pending legal proceedings.
• §1.61-1.62 Reserved
• §1.63 Service on self-regulatory organization governing boards or committees by persons with disciplinary histories.
• §1.64 Composition of various self-regulatory organization governing boards and major disciplinary committees.
• §1.65 Notice of bulk transfers and disclosure obligations to customers.
• §1.66 No-action positions with respect to floor traders.
• §1.67 Notification of final disciplinary action involving financial harm to a customer.
• §1.68 Reserved
• §1.69 Voting by interested members of self-regulatory organization governing boards and various committees.
• §1.70 Notification of State enforcement actions brought under the Commodity Exchange Act.
• §1.71 Conflicts of interest policies and procedures by futures commission merchants and introducing brokers.
• §1.72 Restrictions on customer clearing arrangements.
• §1.73 Clearing futures commission merchant risk management.
• §1.74 Futures commission merchant acceptance for clearing.
• §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.