CHAPTER 1— COMMODITY EXCHANGES
Sections
- § 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 to 4a Transferred 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 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. Pub. L. 111–203, title VII, § 734(a), July 21, 2010, 124 Stat. 1718 repealed
- § 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 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. June 25, 1948, ch. 646, § 39, 62 Stat. 992, eff. Sept. 1, 1948 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 to 12–3 Omitted 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. Pub. L. 106–554, § 1(a)(5) [title I, § 123(a)(21)], Dec. 21, 2000, 114 Stat. 2763, 2763A–410 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. Pub. L. 99–641, title I, § 110(5), Nov. 10, 1986, 100 Stat. 3561 repealed
- § 15 Omitted omitted
- § 15a Repealed. Pub. L. 95–405, § 24, Sept. 30, 1978, 92 Stat. 877 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. Pub. L. 111–203, title VII, § 725(g)(1)(A), July 21, 2010, 124 Stat. 1694 repealed
- § 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 repealed
- § 27f Contract enforcement