Source: http://www.law.cornell.edu/cfr/text/17/1.53?qt-cfr_tabs=2
Timestamp: 2014-11-23 06:25:47
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17 CFR 1.53 - [Reserved] | LII / Legal Information Institute
CFR › Title 17 › Chapter I › Part 1 › Section 1.53 17 CFR 1.53 - [Reserved]
There are 2 Updates appearing in the Federal Register for 17 CFR 1. View below or at eCFR (GPOAccess)
§ 1.53
Title 17 published on 2014-04-01The following are only the Rules published in the Federal Register after the published date of Title 17.For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.2014-07-30; vol. 79 # 146 - Wednesday, July 30, 201479 FR 44125 - Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction
typeregulations.gov FR Doc.2014-17934 RIN3038-AD88 COMMODITY FUTURES TRADING COMMISSION Correcting Amendments. Effective on July 30, 2014. 17 CFR Parts 1, 30, and 140 SummaryThe Commodity Futures Trading Commission (“CFTC”) is correcting final rules published in the Federal Register of November 14, 2013 (“final rules”). Those rules, which adopted new regulations and amended existing regulations requiring enhanced customer protections, risk management programs, internal monitoring and controls, capital and liquidity standards, customer disclosures, and auditing and examination programs for futures commission merchants, took effect on January 13, 2014. This correction amends erroneous cross-references found in three sections of the final rules. Additionally, this correction amends one section of the final rules to insert language that was in the proposed rulemaking, and which was stated as being adopted in the preamble to the final rules, but was erroneously omitted from the final rule text.
2014-05-12; vol. 79 # 91 - Monday, May 12, 201479 FR 26831 - Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction
typeregulations.gov FR Doc.2014-10650 RIN3038-AD88 COMMODITY FUTURES TRADING COMMISSION Correcting amendments. Effective on May 12, 2014. 17 CFR Part 1 SummaryThe Commodity Futures Trading Commission (“Commission” or “CFTC”) is correcting final rules published in the Federal Register of November 14, 2013 (78 FR 68506). Those rules, 17 CFR Parts 1, 3, 22, 30, and 140, took effect on January 13, 2014. This correction amends Appendix B to 17 CFR 1.20 and Appendix B to 17 CFR 1.26 by removing a phrase from both appendices.
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§ 5 - Findings and purpose§ 6 - Regulation of futures trading and foreign transactions§ 6a - Excessive speculation§ 6b - Contracts designed to defraud or mislead§ 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§ 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§ 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 account7 U.S. Code § -§ 6p - Standards and examinations§ 6r - Reporting and recordkeeping for uncleared swaps§ 6s - Registration and regulation of swap dealers and major swap participants§ 7 - Designation of boards of trade as contract markets§ 7a - Repealed.7 U.S. Code § 2a to 4a - Transferred7 U.S. Code § 2a to 4a - Transferred§ 7b - Suspension or revocation of designation as registered entity7 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§ 10 - Repealed. June 25, 1948, ch. 646,§ 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 1 after this date.2014-07-30; vol. 79 # 146 - Wednesday, July 30, 201479 FR 44125 - Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction
2014-07-03; vol. 79 # 128 - Thursday, July 3, 201479 FR 37973 - Position Limits for Derivatives and Aggregation of Positions
2014-06-02; vol. 79 # 105 - Monday, June 2, 201479 FR 31238 - Exclusion of Utility Operations-Related Swaps With Utility Special Entities From De Minimis Threshold for Swaps With Special Entities
typeregulations.gov FR Doc.2014-12469 RIN3038-AE19 COMMODITY FUTURES TRADING COMMISSION Proposed rule. Comments must be received on or before July 2, 2014. 17 CFR Part 1 SummaryThe Commodity Futures Trading Commission (Commission or CFTC) is proposing to amend its regulations (Proposal) to permit a person to exclude utility operations-related swaps with utility special entities in calculating the aggregate gross notional amount of the person&apos;s swap positions solely for purposes of the de minimis exception applicable to swaps with special entities.