7 U.S. Code § 6k: Registration of associates of futures commission

7 U.S. Code § 6k 7 U.S. Code § 6k is about Registration of associates of futures commission merchants, commodity pool operators, and commodity trading advisors; required disclosure of disqualifications; exemptions for associated persons. It is under Chapter 1 (Commodity Exchanges) of Title 7 (Agriculture) of the Code. (1) It shall be unlawful for any […]

7 U.S. Code § 6j: Restrictions on dual trading

7 U.S. Code § 6j 7 U.S. Code § 6j is about Restrictions on dual trading in security futures products on designated contract markets and registered derivatives transaction execution facilities. It is under Chapter 1 (Commodity Exchanges) of Title 7 (Agriculture) of the Code. (a) Issuance of regulationsThe Commission shall issue regulations to prohibit the […]

7 U.S. Code § 6i: Reports of deals equal to

7 U.S. Code § 6i 7 U.S. Code § 6i is about Reports of deals equal to or in excess of trading limits; books and records; cash and controlled transactions. It is under Chapter 1 (Commodity Exchanges) of Title 7 (Agriculture) of the Code. It shall be unlawful for any person to make any contract […]

7 U.S. Code § 6h: False self-representation as registered

7 U.S. Code § 6h 7 U.S. Code § 6h is about False self-representation as registered entity member prohibited. It is under Chapter 1 (Commodity Exchanges) of Title 7 (Agriculture) of the Code. It shall be unlawful for any person falsely to represent such person to be a member of a registered entity or the […]

7 U.S. Code § 6g: Reporting and recordkeeping

7 U.S. Code § 6g 7 U.S. Code § 6g is about Reporting and recordkeeping. It is under Chapter 1 (Commodity Exchanges) of Title 7 (Agriculture) of the Code. (a) In generalEvery person registered hereunder as futures commission merchant, introducing broker, floor broker, or floor trader shall make such reports as are required by the […]

7 U.S. Code § 6f: Registration and financial requirements

7 U.S. Code § 6f 7 U.S. Code § 6f is about Registration and financial requirements; risk assessment. It is under Chapter 1 (Commodity Exchanges) of Title 7 (Agriculture) of the Code. (a) Registration of futures commission merchants, introducing brokers, and floor brokers and traders (1)Any person desiring to register as a futures commission merchant, […]

7 U.S. Code § 6e: Dealings by unregistered floor

7 U.S. Code § 6e 7 U.S. Code § 6e is about Dealings by unregistered floor trader or broker prohibited. It is under Chapter 1 (Commodity Exchanges) of Title 7 (Agriculture) of the Code. It shall be unlawful for any person to act as floor trader in executing purchases and sales, or as floor broker […]

7 U.S. Code § 6d: Dealing by unregistered futures

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) […]

7 U.S. Code § 6c: Prohibited transactions

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 […]

7 U.S. Code § 6b-1: Enforcement authority

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 […]