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7 U.S. Code § 6d 7 U.S. Code § 6d is about 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. It is under Chapter 1 (Commodity Exchanges) of Title 7 (Agriculture)…
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7 U.S. Code § 6c 7 U.S. Code § 6c is about Prohibited transactions. It is under Chapter 1 (Commodity Exchanges) of Title 7 (Agriculture) of the Code. (a) In general (1)ProhibitionIt shall be unlawful for any person to offer to enter into, enter into, or confirm the execution of a transaction described in paragraph…
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7 U.S. Code § 6b-1 7 U.S. Code § 6b-1 is about Enforcement authority. It is under Chapter 1 (Commodity Exchanges) of Title 7 (Agriculture) of the Code. (a) Commodity Futures Trading CommissionExcept as provided in subsections (b), (c), and (d), the Commission shall have exclusive authority to enforce the provisions of subtitle A of…
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7 U.S. Code § 6b 7 U.S. Code § 6b is about Contracts designed to defraud or mislead. It is under Chapter 1 (Commodity Exchanges) of Title 7 (Agriculture) of the Code. (a) Unlawful actionsIt shall be unlawful— (1)for any person, in or in connection with any order to make, or the making of, any…
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7 U.S. Code § 6a 7 U.S. Code § 6a is about Excessive speculation. It is under Chapter 1 (Commodity Exchanges) of Title 7 (Agriculture) of the Code. (a) Burden on interstate commerce; trading or position limits (1)In generalExcessive speculation in any commodity under contracts of sale of such commodity for future delivery made on…
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7 U.S. Code § 6 7 U.S. Code § 6 is about Regulation of futures trading and foreign transactions. It is under Chapter 1 (Commodity Exchanges) of Title 7 (Agriculture) of the Code. (a) Restriction on futures tradingUnless exempted by the Commission pursuant to subsection (c) or by subsection (e), it shall be unlawful for…
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7 U.S. Code § 5 7 U.S. Code § 5 is about Findings and purpose. It is under Chapter 1 (Commodity Exchanges) of Title 7 (Agriculture) of the Code. (a) FindingsThe transactions subject to this chapter are entered into regularly in interstate and international commerce and are affected with a national public interest by providing…
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7 U.S. Code § 2 7 U.S. Code § 2 is about Jurisdiction of Commission; liability of principal for act of agent; Commodity Futures Trading Commission; transaction in interstate commerce. It is under Chapter 1 (Commodity Exchanges) of Title 7 (Agriculture) of the Code. (a) Jurisdiction of Commission; Commodity Futures Trading Commission (1)Jurisdiction of Commission(A)In…
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7 U.S. Code § 1b 7 U.S. Code § 1b is about Requirements of Secretary of the Treasury regarding exemption of foreign exchange swaps and foreign exchange forwards from definition of the term “swap”. It is under Chapter 1 (Commodity Exchanges) of Title 7 (Agriculture) of the Code. (a) Required considerationsIn determining whether to exempt…
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7 U.S. Code § 1a 7 U.S. Code § 1a is about Definitions. It is under Chapter 1 (Commodity Exchanges) of Title 7 (Agriculture) of the Code. As used in this chapter: (1)Alternative trading systemThe term “alternative trading system” means an organization, association, or group of persons that—(A)is registered as a broker or dealer pursuant…