CHAPTER 1—COMMODITY EXCHANGES (§§ 1—27f)
- § 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; 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 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 associat
- § 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. 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
- § 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. 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
- § 24a. Swap data repositories
- § 25. Private rights of action
- § 26. Commodity whistleblower incentives and protection
- § 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