Source: http://www.law.cornell.edu/cfr/text/17/38.1200
Timestamp: 2014-09-02 02:23:52
Document Index: 729377511

Matched Legal Cases: ['art 38', '§ 38', '§ 1', '§ 2', '§ 6', '§ 6', '§ 6', '§ 6', '§ 6', '§ 6', '§ 6', '§ 6', '§ 6', '§ 6', '§ 6', '§ 6', '§ 7', '§ 2', '§ 7', '§ 2', '§ 2', '§ 8', '§ 9', '§ 10', '§ 12', '§ 12', '§ 12', '§ 13', '§ 12', '§ 16', '§ 16', '§ 19', '§ 21', '§ 23', '§ 24']

17 CFR 38.1200 - Core Principle 23. | LII / Legal Information Institute
CFR › Title 17 › Chapter I › Part 38 › Subpart X › Section 38.1200 17 CFR 38.1200 - Core Principle 23.
§ 38.1200
Core Principle 23.
The board of trade shall keep any such records relating to swaps defined in section 1a(47)(A)(v) of the Act open to inspection and examination by the Securities and Exchange Commission.
This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.United States CodeU.S. Code: Title 7 - AGRICULTURE§ 1a - Definitions§ 2 - Jurisdiction of Commission; liability of principal for act of agent; Commodity Futures Trading Commission; transaction in interstate commerce§ 6 - Regulation of futures trading and foreign transactions§ 6a - Excessive speculation§ 6c - Prohibited transactions§ 6d - Dealing by unregistered futures commission merchants or introducing brokers prohibited; duties in handling customer...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§ 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 persons7 U.S. Code § -§ 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§ 7 - Designation of boards of trade as contract markets7 U.S. Code § 2a to 4a - Transferred§ 7b - Suspension or revocation of designation as registered entity7 U.S. Code § 2a to 4a - Transferred7 U.S. Code § 2a to 4a - Transferred§ 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§ 10a - Cooperative associations and corporations, exclusion from board of trade; rules of board inapplicable to payment of compensation by association§ 12 - Public disclosure§ 12a - Registration of commodity dealers and associated persons; regulation of registered entities§ 12c - Disciplinary actions§ 13a - Nonenforcement of rules of government or other violations; cease and desist orders; fines and penalties; imprisonment; misdemeanor; separate offenses7 U.S. Code § 12–1 to 12–3 - Omitted§ 16 - Commission operations§ 16a - Service fees and National Futures Association study§ 19 - Consideration of costs and benefits and antitrust laws§ 21 - Registered futures associations§ 23 - Standardized contracts for certain commodities§ 24 - Customer property with respect to commodity broker debtors; definitions
Title 17 published on 2014-04-01The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 38 after this date.2014-07-03; vol. 79 # 128 - Thursday, July 3, 201479 FR 37973 - Position Limits for Derivatives and Aggregation of Positions