From Title 7-AGRICULTURE CHAPTER 1-COMMODITY EXCHANGES §13a–2. Jurisdiction of States (1) Whenever it shall appear to the attorney general of any State, the administrator of the securities laws of any State, or such other official as a State may designate,…
Sec. 13a-1. Enjoining or restraining violations
From Title 7-AGRICULTURE CHAPTER 1-COMMODITY EXCHANGES §13a–1. Enjoining or restraining violations (a) Action to enjoin or restrain violations Whenever it shall appear to the Commission that any registered entity or other person has engaged, is engaging, or is about to…
Sec. 13a. Nonenforcement of rules of government or other violations; cease and desist orders; fines and penalties; imprisonment; misdemeanor; separate offenses
From Title 7-AGRICULTURE CHAPTER 1-COMMODITY EXCHANGES §13a. Nonenforcement of rules of government or other violations; cease and desist orders; fines and penalties; imprisonment; misdemeanor; separate offenses If any registered entity is not enforcing or has not enforced its rules of…
Sec. 13. Violations generally; punishment; costs of prosecution
From Title 7-AGRICULTURE CHAPTER 1-COMMODITY EXCHANGES §13. Violations generally; punishment; costs of prosecution (a) Felonies generally It shall be a felony punishable by a fine of not more than $1,000,000 or imprisonment for not more than 10 years, or both,…
Sec. 12c. Disciplinary actions
From Title 7-AGRICULTURE CHAPTER 1-COMMODITY EXCHANGES §12c. Disciplinary actions (a) Action taken; written notice of reasons for action (1) Any exchange or the Commission if the exchange fails to act, may suspend, expel, or otherwise discipline any person who is…
Sec. 12a. Registration of commodity dealers and associated persons; regulation of registered entities
From Title 7-AGRICULTURE CHAPTER 1-COMMODITY EXCHANGES §12a. Registration of commodity dealers and associated persons; regulation of registered entities The Commission is authorized- (1) to register futures commission merchants, associated persons of futures commission merchants, introducing brokers, associated persons of introducing…
Sec. 12. Public disclosure
From Title 7-AGRICULTURE CHAPTER 1-COMMODITY EXCHANGES §12. Public disclosure (a) Investigations respecting operations of boards of trade and others subject to this chapter; publication of results; restrictions; information received from foreign futures authorities; undercover operations; notice of investigations and enforcement…
Sec. 10a. Cooperative associations and corporations, exclusion from board of trade; rules of board inapplicable to payment of compensation by association
From Title 7-AGRICULTURE CHAPTER 1-COMMODITY EXCHANGES §10a. Cooperative associations and corporations, exclusion from board of trade; rules of board inapplicable to payment of compensation by association (a) No board of trade which has been designated or registered as a contract…
Sec. 9b. Rules prohibiting deceptive and other abusive telemarketing acts or practices
From Title 7-AGRICULTURE CHAPTER 1-COMMODITY EXCHANGES §9b. Rules prohibiting deceptive and other abusive telemarketing acts or practices (1) Except as provided in paragraph (2), not later than six months after the effective date of rules promulgated by the Federal Trade…
Sec. 9a. Assessment of money penalties
From Title 7-AGRICULTURE CHAPTER 1-COMMODITY EXCHANGES §9a. Assessment of money penalties (1) In determining the amount of the money penalty assessed under section 9 of this title, the Commission shall consider the appropriateness of such penalty to the gravity of…