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Timestamp: 2016-02-12 09:54:21
Document Index: 662849569

Matched Legal Cases: ['art 1', 'art 1', '§ 1', 'art 141', 'art 142', 'art 143', 'art 144', 'art 145', 'art 146', 'art 147', 'art 148', 'art 149', 'art 155', 'art 156', 'art 166']

17 CFR 1.35 - Records of cash commodity, futures, and option transactions.
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Contained Within Title 17 - Commodity and Securities ExchangesTitle 17 - Commodity and Securities ExchangesChapter I - COMMODITY FUTURESTRADING COMMISSIONPart 1 - GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACTSubjgrp - RecordkeepingSection 1.35 - Records of cash commodity, futures, and option transactions.
Citation Text41 FR 3194, Jan. 21, 1976, as amended by 46 FR 54521, Nov. 3, 1981; 46 FR 55925, Nov. 13, 1981; 46 FR 63035, Dec. 30, 1981; 47 FR 57008, Dec. 22, 1982; 48 FR 35389, Aug. 3, 1983; 51 FR 2691, Jan. 21, 1986; 54 FR 33881, Aug. 17, 1989; 55 FR 8137, Mar. 7, 1990; 58 FR 27465, May 10, 1993; 58 FR 31166, June 1, 1993; 58 FR 40348, July 28, 1993; 59 FR 5525, Feb. 7, 1994; 61 FR 43001, Aug. 20, 1996; 63 FR 45709, Aug. 27, 1998; 63 FR 49955, Sept. 18, 1998
Federal Register References41 FR 3194, 46 FR 54521, 46 FR 55925, 46 FR 63035, 47 FR 57008, 48 FR 35389, 51 FR 2691, 54 FR 33881, 55 FR 8137, 58 FR 27465, 58 FR 31166, 58 FR 40348, 59 FR 5525, 61 FR 43001, 63 FR 45709, 63 FR 49955
United States Code Reference15 U.S.C. 78a, 80a-1
GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT
Appendix B to Part 1 -
Fees for Contract Market Rule Enforcement Reviews and Financial Reviews
Section 1.1 -
Words in singular and plural form.
Section 1.2 -
Section 1.3 -
Section 1.4 -
Section 1.10 -
Section 1.11 -
Section 1.12 -
Maintenance of minimum financial requirements by futures commission merchants and introducing...
Section 1.13 -
Section 1.14 -
Section 1.15 -
Section 1.16 -
Qualifications and reports of accountants.
Section 1.17 -
Section 1.18 -
Records for and relating to financial reporting and monthly computation by futures commission...
Section 1.19 -
Section 1.20 -
Section 1.21 -
Care of money and equities accruing to customers.
Section 1.22 -
Use of customer funds restricted.
Section 1.23 -
Interest of futures commission merchant in segregated funds; additions and withdrawals.
Section 1.24 -
Segregated funds; exclusions therefrom.
Section 1.25 -
Section 1.26 -
Deposit of obligations purchased with customer funds.
Section 1.27 -
Section 1.28 -
Appraisal of obligations purchased with customer funds.
Section 1.29 -
Increment or interest resulting from investment of customer funds.
Section 1.30 -
Section 1.31 -
Section 1.32 -
Section 1.33 -
Section 1.34 -
Monthly record, “point balance”.
Section 1.35 -
Records of cash commodity, futures, and option transactions.
Section 1.36 -
Record of securities and property received from customers and option customers.
Section 1.37 -
Customer's or option customer's name, address, and occupation recorded; record of guarantor or...
Section 1.38 -
Section 1.39 -
Simultaneous buying and selling orders of different principals; execution of, for and between...
Section 1.40 -
Crop, market information letters, reports; copies required.
Section 1.41 -
Contract market rules; submission of rules to the Commission; exemption of certain rules.
Section 1.41a -
Delegation of authority to the Directors of the Division of Trading and Markets and the Division...
Section 1.41b -
Delegation of authority to the Director of the Division of Trading and Markets and Director of...
Section 1.41c -
Delegation of authority to the Director of the Division of Trading and Markets to receive notice...
Section 1.42 -
Delivery notice; filing of copy.
Section 1.43 -
Information required concerning warehouses.
Section 1.44 -
Section 1.45 -
Delivery of commodities conforming to United States standards.
Section 1.46 -
Section 1.47 -
Requirements for classification of purchases or sales of contracts for future delivery as bona...
Section 1.48 -
Requirements for classification of sales or purchases for future delivery as bona fide hedging of...
Section 1.50 -
Demonstration of continued compliance with the requirements for contract market designation.
Section 1.51 -
Contract market program for enforcement.
Section 1.52 -
Section 1.53 -
Enforcement of contract market bylaws, rules, regulations, and resolutions.
Section 1.54 -
Section 1.55 -
Section 1.56 -
Prohibition of guarantees against loss.
Section 1.57 -
Operations and activities of introducing brokers.
Section 1.58 -
Section 1.59 -
Activities of self-regulatory organization employees and governing members who possess material...
Section 1.60 -
Section 1.61 -
Section 1.62 -
Section 1.63 -
Service on self-regulatory organization governing boards or committees by persons with...
Section 1.64 -
Composition of various self-regulatory organization governing boards and major disciplinary...
Section 1.65 -
Section 1.66 -
Section 1.67 -
Section 1.69 -
Voting by interested members of self-regulatory organization governing boards and various...
Section 1.70 -
EXCHANGE PROCEDURES FOR DISCIPLINARY, SUMMARY, AND MEMBERSHIP DENIAL ACTIONS
RULES RELATING TO REPARATIONS
RULES RELATING TO SUSPENSION OR DISBARMENT FROM APPEARANCE AND PRACTICE
REPORTS-GENERAL PROVISIONS
REPORTS BY CONTRACT MARKETS
REPORTS BY FUTURES COMMISSION MERCHANTS, MEMBERS OF CONTRACT MARKETS AND FOREIGN BROKERS
REPORTS BY TRADERS
REPORTS BY PERSONS HOLDING BONA FIDE HEDGE POSITIONS PURSUANT TO § 1.3(z) OF THIS CHAPTER AND BY...
FOREIGN FUTURES AND FOREIGN OPTIONS TRANSACTIONS
REGULATION OF DOMESTIC EXCHANGE-TRADED COMMODITY OPTION TRANSACTIONS
REGULATION OF HYBRID INSTRUMENTS
EXEMPTION OF SWAP AGREEMENTS
EXEMPTION OF SECTION 4(c) CONTRACT MARKET TRANSACTIONS
ORGANIZATION, FUNCTIONS, AND PROCEDURES OF THE COMMISSION
Part 141 -
Part 142 -
INDEMNIFICATION OF CFTC EMPLOYEES
Part 143 -
COLLECTION OF CLAIMS OWED THE UNITED STATES ARISING FROM ACTIVITIES UNDER THE COMMISSION'S...
Part 144 -
PROCEDURES REGARDING THE DISCLOSURE OF INFORMATION AND THE TESTIMONY OF PRESENT OR FORMER...
Part 145 -
Part 146 -
Part 147 -
Part 148 -
IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN COVERED ADJUDICATORY PROCEEDINGS BEFORE THE...
Part 149 -
LIMITS ON POSITIONS
Part 155 -
Part 156 -
Part 166 -
REGISTERED FUTURES ASSOCIATIONS
RULES RELATING TO REVIEW OF NATIONAL FUTURES ASSOCIATION DECISIONS IN DISCIPLINARY, MEMBERSHIP...