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U.S. Code most recently checked for updates: Dec 09, 2024
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Title 7
Chapter 1
§ 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; conflict-of-interest systems and procedures; Chief Compliance Officer; 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
§ 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 persons
§ 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. Repealed.
§ 7a-1. Derivatives clearing organizations
§ 7a-2. Common provisions applicable to registered entities
§ 7a-3. Repealed.
§ 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. Prohibition regarding manipulation and false information
§ 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 motion picture box office receipts or 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
§ 13c. Responsibility as principal; minor violations
§ 14. Repealed.
§ 15. Omitted
§ 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. Customer property with respect to 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 product
§ 27b. Repealed.
§ 27c. Exclusion of certain other identified banking products
§ 27d. Administration of the predominance test
§ 27e. Repealed.
§ 27f. Contract enforcement
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