CHAPTER 1 — Commodity Exchanges
86 sections.
- § 1. — Short title
- § 1a. — Definitions
- § 1b. — Requirements of Secretary of the Treasury regarding exemption of foreign exchange swaps and foreign exchange forwards from definition of the term “swap”
- § 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. — Contracts designed to defraud or mislead
- § 6b–1. — Enforcement authority
- § 6c. — Prohibited transactions
- § 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
- § 6e. — Dealings by unregistered floor trader or broker prohibited
- § 6f. — Registration and financial requirements; risk assessment
- § 6g. — Reporting and recordkeeping
- § 6h. — False self-representation 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. — Transferred
- § 6p. — Standards and examinations
- § 6q. — Special procedures to encourage and facilitate bona fide hedging by agricultural producers
- § 6r. — Reporting and recordkeeping for uncleared swaps
- § 6s. — Registration and regulation of swap dealers and major swap participants
- § 6t. — Large swap trader reporting
- § 7. — Designation of boards of trade as contract markets
- § 7a. — Repealed. Pub. L. 111–203, title VII, § 734(a), July 21, 2010, 124 Stat. 1718
- § 7a–1. — Derivatives clearing organizations
- § 7a–2. — Common provisions applicable to registered entities
- § 7a–3. — Repealed. Pub. L. 111–203, title VII, § 734(a), July 21, 2010, 124 Stat. 1718
- § 7b. — Suspension or revocation of designation as registered entity
- § 7b–1. — Designation of securities exchanges and associations as contract markets
- § 7b–2. — Privacy
- § 7b–3. — Swap execution facilities
- § 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. — Prohibition regarding manipulation and false information
- § 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. June 25, 1948, ch. 646, § 39, 62 Stat. 992, eff. Sept. 1, 1948
- § 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. Pub. L. 106–554, § 1(a)(5) [title I, § 123(a)(21)], Dec. 21, 2000, 114 Stat. 2763, 2763A–410
- § 13. — Violations generally; punishment; costs of prosecution
- § 13–1. — Violations, prohibition against dealings in motion picture box office receipts or 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
- § 13c. — Responsibility as principal; minor violations
- § 14. — Repealed. Pub. L. 99–641, title I, § 110(5), Nov. 10, 1986, 100 Stat. 3561
- § 15. — Omitted
- § 15a. — Repealed. Pub. L. 95–405, § 24, Sept. 30, 1978, 92 Stat. 877
- § 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. — Customer property with respect to commodity broker debtors; definitions
- § 24a. — Swap data repositories
- § 25. — Private rights of action
- § 26. — Commodity whistleblower incentives and protection
- § 27. — Definitions
- § 27a. — Exclusion of identified banking product
- § 27b. — Repealed. Pub. L. 111–203, title VII, § 725(g)(1)(A), July 21, 2010, 124 Stat. 1694
- § 27c. — Exclusion of certain other identified banking products
- § 27d. — Administration of the predominance test
- § 27e. — Repealed. Pub. L. 111–203, title VII, § 725(g)(1)(A), July 21, 2010, 124 Stat. 1694
- § 27f. — Contract enforcement