From Title 7-AGRICULTURE CHAPTER 1-COMMODITY EXCHANGES §6g. Reporting and recordkeeping (a) In general Every person registered hereunder as futures commission merchant, introducing broker, floor broker, or floor trader shall make such reports as are required by the Commission regarding the…
Category: United States Code
Sec. 6f. Registration and financial requirements; risk assessment
From Title 7-AGRICULTURE CHAPTER 1-COMMODITY EXCHANGES §6f. Registration and financial requirements; risk assessment (a) Registration of futures commission merchants, introducing brokers, and floor brokers and traders (1) Any person desiring to register as a futures commission merchant, introducing broker, floor…
Sec. 6e. Dealings by unregistered floor trader or broker prohibited
From Title 7-AGRICULTURE CHAPTER 1-COMMODITY EXCHANGES §6e. Dealings by unregistered floor trader or broker prohibited It shall be unlawful for any person to act as floor trader in executing purchases and sales, or as floor broker in executing any orders…
Sec. 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
From Title 7-AGRICULTURE CHAPTER 1-COMMODITY EXCHANGES §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 (a)…
Sec. 6c. Prohibited transactions
From Title 7-AGRICULTURE CHAPTER 1-COMMODITY EXCHANGES §6c. Prohibited transactions (a) In general (1) Prohibition It shall be unlawful for any person to offer to enter into, enter into, or confirm the execution of a transaction described in paragraph (2) involving…
Sec. 6b. Contracts designed to defraud or mislead
From Title 7-AGRICULTURE CHAPTER 1-COMMODITY EXCHANGES §6b. Contracts designed to defraud or mislead (a) Unlawful actions It shall be unlawful- (1) for any person, in or in connection with any order to make, or the making of, any contract of…
Sec. 6a. Excessive speculation
From Title 7-AGRICULTURE CHAPTER 1-COMMODITY EXCHANGES §6a. Excessive speculation (a) Burden on interstate commerce; trading or position limits (1) In general Excessive speculation in any commodity under contracts of sale of such commodity for future delivery made on or subject…
Sec. 6. Regulation of futures trading and foreign transactions
From Title 7-AGRICULTURE CHAPTER 1-COMMODITY EXCHANGES §6. Regulation of futures trading and foreign transactions (a) Restriction on futures trading Unless exempted by the Commission pursuant to subsection (c) or by subsection (e), it shall be unlawful for any person to…
Secs. 2a to 4a. Transferred
From Title 7-AGRICULTURE CHAPTER 1-COMMODITY EXCHANGES §§2a to 4a. Transferred Codification Section 2a, act Sept. 21, 1922, ch. 369, §2(a)(1)(C), formerly §2(a)(1)(B), as added Pub. L. 97–444, title I, §101(a)(3), Jan. 11, 1983, 96 Stat. 2294 , as amended and…
Sec. 2. Jurisdiction of Commission; liability of principal for act of agent; Commodity Futures Trading Commission; transaction in interstate commerce
From Title 7-AGRICULTURE CHAPTER 1-COMMODITY EXCHANGES §2. Jurisdiction of Commission; liability of principal for act of agent; Commodity Futures Trading Commission; transaction in interstate commerce (a) Jurisdiction of Commission; Commodity Futures Trading Commission (1) Jurisdiction of Commission (A) In general…