Chapter 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
- §2a...4a Transferred
- §5 Findings and purpose
- §6 Regulation of futures trading and foreign transactions
- §6a Excessive speculation
- §6b Contracts designed to defraud or mislead
- §6b–1 Enforcement authority
- §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
- §6o–1 Transferred
- §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.
- §7a–1 Derivatives clearing organizations
- §7a–2 Common provisions applicable to registered entities
- §7a–3 Repealed.
- §7b Suspension or revocation of designation as registered entity
- §7b–1 Designation of securities exchanges and associations as contract markets
- §7b–2 Privacy
- §7b–3 Swap execution facilities
- §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.
- §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
- §12–1...12–3 Omitted
- §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.
- §13 Violations generally; punishment; costs of prosecution
- §13–1 Violations, prohibition against dealings in motion picture box office receipts or onion futures; punishment
- §13a Nonenforcement of rules of government or other violations; cease and desist orders; fines and penalties; imprisonment; misdemeanor; separate offenses
- §13a–1 Enjoining or restraining violations
- §13a–2 Jurisdiction of States
- §13b Manipulations or other violations; cease and desist orders against persons other than registered entities; punishment
- §13c Responsibility as principal; minor violations
- §14 Repealed.
- §15 Omitted
- §15a Repealed.
- §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.
- §27c Exclusion of certain other identified banking products
- §27d Administration of the predominance test
- §27e Repealed.
- §27f Contract enforcement