### **CHAPTER 1—COMMODITY EXCHANGES**

Sec.
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.
6 l.
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.
6 o.
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.
7a–1.
Derivatives clearing organizations.
7a–2.
Common provisions applicable to registered entities.
7a–3.
Repealed.
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.
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 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.
15, 15a. Omitted or 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.
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.
27c.
Exclusion of certain other identified banking products.
27d.
Administration of the predominance test.
27e.
Repealed.
27f.
Contract enforcement.