17 CFR - Code of Federal Regulations - Title 17: Commodity and Securities Exchanges


Updated to: April 01, 2011





Table of Contents

CHAPTER I: COMMODITY FUTURES TRADING COMMISSION

PART 1: GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT


17 CFR Appendix A to Part 1 [Reserved]

17 CFR Appendix B to Part 1 - Fees for Contract Market Rule Enforcement Reviews and Financial Reviews

17 CFR 1.1 -

17 CFR 1.10 - Financial reports of futures commission merchants and introducing brokers.

17 CFR 1.12 - Maintenance of minimum financial requirements by futures commission merchants and introducing brokers.

17 CFR 1.14 - Risk assessment recordkeeping requirements for futures commission merchants.

17 CFR 1.15 - Risk assessment reporting requirements for futures commission merchants.

17 CFR 1.16 - Qualifications and reports of accountants.

17 CFR 1.17 - Minimum financial requirements for futures commission merchants and introducing brokers.

17 CFR 1.18 - Records for and relating to financial reporting and monthly computation by futures commission merchants and introducing brokers.

17 CFR 1.19 - Prohibited trading in certain “puts” and “calls”.

17 CFR 1.2 - Liability of principal for act of agent.

17 CFR 1.20 - Customer funds to be segregated and separately accounted for.

17 CFR 1.21 - Care of money and equities accruing to customers.

17 CFR 1.22 - Use of customer funds restricted.

17 CFR 1.23 - Interest of futures commission merchant in segregated funds; additions and withdrawals.

17 CFR 1.24 - Segregated funds; exclusions therefrom.

17 CFR 1.25 - Investment of customer funds.

17 CFR 1.26 - Deposit of instruments purchased with customer funds.

17 CFR 1.27 - Record of investments.

17 CFR 1.28 - Appraisal of instruments purchased with customer funds.

17 CFR 1.29 - Increment or interest resulting from investment of customer funds.

17 CFR 1.3 - Definitions.

17 CFR 1.30 - Loans by futures commission merchants; treatment of proceeds.

17 CFR 1.31 - Books and records; keeping and inspection.

17 CFR 1.32 - Segregated account; daily computation and record.

17 CFR 1.33 - Monthly and confirmation statements.

17 CFR 1.34 - Monthly record, “point balance”.

17 CFR 1.35 - Records of cash commodity, futures, and option transactions.

17 CFR 1.36 - Record of securities and property received from customers and option customers.

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