U.S. Code

CHAPTER 1—COMMODITY EXCHANGES (§§ 1—27f)

• § 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; rules to avoid duplicative regulations
• § 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 associat
• § 6l. 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
• § 6o. 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. Derivatives transaction execution facilities
• § 7a-1. Derivatives clearing organizations
• § 7a-2. Common provisions applicable to registered entities
• § 7a-3. Exempt boards of trade
• § 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. Exclusion of persons from privilege of “registered entities”; procedure for exclusion; review by court of appeals
• § 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 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; misdemeanor or felony; separate offenses
• § 13c. Responsibility as principal; minor violations
• § 14. Repealed.]
• § 15. Enforcement powers of Commission
• § 15a. 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. Regulations respecting 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 products commonly offered on or before December 5, 2000
• § 27b. Exclusion of certain identified banking products offered by banks after December 5, 2000
• § 27c. Exclusion of certain other identified banking products
• § 27d. Administration of the predominance test
• § 27e. Exclusion of covered swap agreements
• § 27f. Contract enforcement

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