US CHAPTER 1 — COMMODITY EXCHANGES
- § 1. — Short title.
- § 1a. — Definitions.
- § 2. — Jurisdiction of Commission; liability of principal for act of agent; Commodity Futures Trading Commission; transaction in interstate commerce.
- § 2a to 4a. — Transferred.
- § 5. — Findings and purpose.
- § 6. — Regulation of futures trading and foreign transactions.
- § 6a. — Excessive speculation.
- § 6b. — Fraud, false reporting, or deception prohibited.
- § 6c. — Prohibited transactions.
- § 6d. — Dealing by unregistered futures commission merchants or introducing brokers prohibited; duties in handling customer receipts; rules to avoid duplicative regulations.
- § 6e. — Dealings by unregistered floor trader or broker prohibited.
- § 6f. — Registration and financial requirements; risk assessment.
- § 6g. — Reporting and recordkeeping.
- § 6h. — False selfrepresentation 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. — Special procedures to encourage and facilitate bona fide hedging by agricultural producers.
- § 6p. — Standards and examinations.
- § 7. — Designation of boards of trade as contract markets.
- § 7a. — Derivatives transaction execution facilities.
- § 7a-1. — Derivatives clearing organizations.
- § 7a-2. — Common provisions applicable to registered entities.
- § 7a-3. — Exempt boards of trade.
- § 7b. — Suspension or revocation of designation as registered entity.
- § 7b-1. — Designation of securities exchanges and associations as contract markets.
- § 7b-2. — Privacy.
- § 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. — Exclusion of persons from privilege of "registered entities"; procedure for exclusion; review by court of appeals.
- § 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.
- § 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.
- § 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.
- § 13. — Violations generally; punishment; costs of prosecution.
- § 13-1. — Violations, prohibition against dealings in 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; misdemeanor or felony; separate offenses.
- § 13c. — Responsibility as principal; minor violations.
- § 14. — Repealed.
- § 15. — Enforcement powers of Commission.
- § 15a. — 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. — Regulations respecting commodity broker debtors; definitions.
- § 25. — Private rights of action.
- § 26. — Repealed.
- § 27. — Definitions.
- § 27a. — Exclusion of identified banking products commonly offered on or before December 5, 2000.
- § 27b. — Exclusion of certain identified banking products offered by banks after December 5, 2000.
- § 27c. — Exclusion of certain other identified banking products.
- § 27d. — Administration of the predominance test.
- § 27e. — Exclusion of covered swap agreements.
- § 27f. — Contract enforcement.