Chapter 1 Commodity Exchanges

Sections in Chapter 1

• § 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