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17 CFR 1.31 · Regulatory records; retention and production.
17 CFR 1.32 · Reporting of segregated account computation and details regarding the holding of futures customer funds.
17 CFR 1.33 · Monthly and confirmation statements.
17 CFR 1.34 · Monthly record, “point balance”.
17 CFR 1.35 · Records of commodity interest and related cash or forward transactions.
17 CFR 1.36 · Record of securities and property received from customers.
17 CFR 1.37 · Customer's name, address, and occupation recorded; record of guarantor or controller of account.
17 CFR 1.38 · Execution of transactions.
17 CFR 1.39 · Simultaneous buying and selling orders of different principals; execution of, for and between principals.
17 CFR 1.40 · Crop, market information letters, reports; copies required.
17 CFR 1.41 · Designation of hedging accounts.
17 CFR 1.42 · Delivery accounts.
17 CFR 1.43 · Letters of credit as collateral.
17 CFR 1.44 · Margin adequacy and treatment of separate accounts.
17 CFR 1.45 · [Reserved]
17 CFR 1.46 · Application and closing out of offsetting long and short positions.
17 CFR 1.47-1.48 · §§ 1.47-1.48 [Reserved]
17 CFR 1.49 · Denomination of customer funds and location of depositories.
17 CFR 1.50-1.51 · §§ 1.50-1.51 [Reserved]
17 CFR 1.52 · Self-regulatory organization adoption and surveillance of minimum financial requirements.
17 CFR 1.53 · [Reserved]
17 CFR 1.54 · Contract market rules submitted to and approved or not disapproved by the Secretary of Agriculture.
17 CFR 1.55 · Public disclosures by futures commission merchants.
17 CFR 1.56 · Prohibition of guarantees against loss.
17 CFR 1.57 · Operations and activities of introducing brokers.
17 CFR 1.58 · Gross collection of exchange-set margins.
17 CFR 1.59 · Activities of self-regulatory organization employees, governing board members, committee members, and consultants.
17 CFR 1.60 · Pending legal proceedings.
17 CFR 1.61-1.62 · §§ 1.61-1.62 [Reserved]
17 CFR 1.63 · Service on self-regulatory organization governing boards or committees by persons with disciplinary histories.
17 CFR 1.64 · Composition of various self-regulatory organization governing boards and major disciplinary committees.
17 CFR 1.65 · Notice of bulk transfers and disclosure obligations to customers.
17 CFR 1.66 · No-action positions with respect to floor traders.
17 CFR 1.67 · Notification of final disciplinary action involving financial harm to a customer.
17 CFR 1.68 · [Reserved]
17 CFR 1.69 · Voting by interested members of self-regulatory organization governing boards and various committees.
17 CFR 1.70 · Notification of State enforcement actions brought under the Commodity Exchange Act.
17 CFR 1.71 · Conflicts of interest policies and procedures by futures commission merchants and introducing brokers.
17 CFR 1.72 · Restrictions on customer clearing arrangements.
17 CFR 1.73 · Clearing futures commission merchant risk management.
17 CFR 1.74 · Futures commission merchant acceptance for clearing.
17 CFR 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.
17 CFR Appendix A to Part 1 · Appendix A to Part 1—Treatment of Certain Foreign Currencies for Margin Adequacy Requirements Under Regulation 1.44
17 CFR Appendix B to Part 1 · Appendix B to Part 1—Fees for Contract Market Rule Enforcement Reviews and Financial Reviews
17 CFR Appendix C to Part 1 · Appendix C to Part 1—Futures Commission Merchant Acknowledgment Letter for CFTC Regulation 1.20 Customer Segregated Account
17 CFR Appendix D to Part 1 · Appendix D to Part 1—Derivatives Clearing Organization Acknowledgment Letter for CFTC Regulation 1.20 Customer Segregated Account
17 CFR Appendix E to Part 1 · Appendix E to Part 1—Government Money Market Fund Prospectus Provisions Acceptable for Compliance with § 1.25(c)(5)
17 CFR Appendix F to Part 1 · Appendix F to Part 1—Futures Commission Merchant Acknowledgment Letter for CFTC Regulation 1.26 Customer Segregated Government Money Market Fund Account
17 CFR Appendix G to Part 1 · Appendix G to Part 1—Derivatives Clearing Organization Acknowledgment Letter for CFTC Regulation 1.26 Customer Segregated Government Money Market Fund Account
17 CFR 2.1 · Description.
17 CFR 2.2 · Authority to affix seal.
17 CFR 2.3 · Prohibitions against misuse of seal.
17 CFR 2.4 · Employee Recreation Association's use of Commission seal.
17 CFR 3.1 · Definitions.
17 CFR 3.2 · Registration processing by the National Futures Association; notification and duration of registration.
17 CFR 3.3 · Chief compliance officer.
17 CFR 3.4 · Registration in one capacity not included in registration in any other capacity.
17 CFR 3.5-3.9 · §§ 3.5-3.9 [Reserved]
17 CFR 3.10 · Registration of futures commission merchants, retail foreign exchange dealers, introducing brokers, commodity trading advisors, commodity pool operators, swap dealers, major swap participants and leverage transaction merchants.
17 CFR 3.11 · Registration of floor brokers and floor traders.
17 CFR 3.12 · Registration of associated persons of futures commission merchants, retail foreign exchange dealers, introducing brokers, commodity trading advisors, commodity pool operators and leverage transaction merchants.
17 CFR 3.13-3.20 · §§ 3.13-3.20 [Reserved]
17 CFR 3.21 · Exemption from fingerprinting requirement in certain cases.
17 CFR 3.22 · Supplemental filings.
17 CFR 3.23-3.29 · §§ 3.23-3.29 [Reserved]
17 CFR 3.30 · Current address for purpose of delivery of communications from the Commission or the National Futures Association.
17 CFR 3.31 · Deficiencies, inaccuracies, and changes, to be reported.
17 CFR 3.33 · Withdrawal from registration.
17 CFR 3.40 · Temporary licensing of applicants for associated person, floor broker or floor trader registration.
17 CFR 3.42 · Termination.
17 CFR 3.43 · Relationship to registration.
17 CFR 3.44 · Temporary licensing of applicants for guaranteed introducing broker registration.
17 CFR 3.45 · Restrictions upon activities.
17 CFR 3.46 · Termination.
17 CFR 3.47 · Relationship to registration.
17 CFR 3.50 · Service.
17 CFR 3.51 · Withdrawal of application for registration.
17 CFR 3.52-3.54 · §§ 3.52-3.54 [Reserved]
17 CFR 3.55 · Suspension and revocation of registration pursuant to section 8a(2) of the Act.
17 CFR 3.56 · Suspension or modification of registration pursuant to section 8a(11) of the Act.
17 CFR 3.57 · Proceedings under section 8a(2)(E) of the Act.
17 CFR 3.60 · Procedure to deny, condition, suspend, revoke or place restrictions upon registration pursuant to sections 8a(2), 8a(3) and 8a(4) of the Act.
17 CFR 3.61 · Extensions of time for proceedings brought under § 3.55, § 3.56, and § 3.60 of this part.
17 CFR 3.62 · [Reserved]
17 CFR 3.63 · Service of order issued by an Administrative Law Judge or the Commission.
17 CFR 3.64 · Procedure to lift or modify conditions or restrictions.
17 CFR 3.70 · Notification of certain information regarding associated persons.
17 CFR 3.75 · Delegation and reservation of authority.
17 CFR Appendix A to Part 3 · Appendix A to Part 3—Interpretative Statement With Respect to Section 8a(2)(C) and (E) and Section 8a(3)(J) and (M) of the Commodity Exchange Act
17 CFR Appendix B to Part 3 · Appendix B to Part 3—Statement of Acceptable Practices With Respect to Ethics Training
17 CFR Appendix C to Part 3 · Appendix C to Part 3—Guidance on the Application of § 3.3(e), Chief Compliance Officer Annual Report Form and Content
17 CFR 4.1 · Requirements as to form.
17 CFR 4.2-4.4 · §§ 4.2-4.4 [Reserved]
17 CFR 4.5 · Exclusion for certain otherwise regulated persons from the definition of the term “commodity pool operator.”
17 CFR 4.6 · Exclusion for certain otherwise regulated persons from the definition of the term “commodity trading advisor.”
17 CFR 4.7 · Exemption from certain part 4 requirements for commodity pool operators with respect to offerings to qualified eligible persons and for commodity trading advisors with respect to advising qualified eligible persons.
17 CFR 4.8 · Exemption from certain requirements of rule 4.26 with respect to pools offered or sold in certain offerings exempt from registration under the Securities Act.
17 CFR 4.9 · [Reserved]
17 CFR 4.10 · Definitions.
17 CFR 4.11 · Exemption from section 4n(3)(B).